Branch Office Examiner
Core
Administer onsite branch examinations to Financial Advisors at Broker Dealers to assess compliance with applicable regulations.
Role type
Senior IC compliance examiner (financial services)
Builds
Compliance assessments and reports for Broker Dealer branches
Domain
Financial Services / Broker-Dealer Regulation
Required skills
FINRA Series 7 license, Broker-Dealer operations knowledge, Regulatory compliance knowledge, Report generation and analysis, Onsite inspection, Travel management, Communication with Branch Managers
Preferred skills
FINRA Series 24, Series 65, Series 66, Prior Branch Examiner experience
Technologies
None stated
Responsibilities
Conduct 85-100 onsite exams per year, Travel up to 50% of the time for exams, Schedule and discuss exam expectations with OSJ and Satellite branches, Prepare and analyze reports for exams, Review exam findings with Branch Managers, Send exam reports to Supervision and Compliance departments, Educate Managers and Financial Advisors on industry rules and firm policies, Identify and share best practices for supervisory systems
Seniority
Mid-level, hands-on IC