Branch Office Examiner
Core
Conducting onsite compliance examinations of financial advisor branches to assess adherence to regulations and firm policies.
Role type
Field compliance examiner (financial services)
Builds
Regulatory compliance assurance for broker-dealer branches
Domain
Financial services / Brokerage / Regulatory compliance
Deliverable
client delivery
Required skills
FINRA Series 7 license, knowledge of retail brokerage and investment products, independent investigation, report generation and analysis, regulatory policy interpretation
Preferred skills
FINRA Series 24, Series 65, Series 66, prior Branch Examiner experience
Technologies
Information technology tools for electronic communication and data analysis
Responsibilities
Conduct 85-100 onsite branch exams annually, travel up to 50% of the time for field inspections, schedule and discuss exam expectations with branch managers, prepare and analyze pre-exam reports, review findings with branch managers, submit exam reports to supervision and compliance departments, educate managers and staff on industry rules and firm policies, identify and share best practices for supervisory systems
Seniority
Mid-level, hands-on IC