Wealth Management Branch Examiner
Core
Perform independent oversight and execution of risk-based branch examinations across retail locations to safeguard regulatory integrity.
Role type
Director-level compliance examiner
Builds
Risk assessments, compliance testing results, and corrective action plans for retail branches
Domain
Financial Services / Wealth Management / Regulatory Compliance
Required skills
Risk assessment, regulatory knowledge, financial services industry experience, analytical thinking, critical thinking, objectivity, independent decision-making, communication, detail orientation, organizational skills
Preferred skills
Prior examination or testing experience, FINRA licenses
Technologies
None stated
Responsibilities
Perform pre-exam testing by analyzing risk assessments and reviewing documentation; Conduct onsite branch inspections and interview staff; Evaluate testing results and assess control environments; Hold meetings with management to discuss findings and root causes; Collaborate on corrective action plans; Oversee multiple examinations concurrently; Maintain knowledge of regulatory changes
Seniority
Director, hands-on IC with strategic oversight