Compliance Examiner - Remote

Overview

The Compliance Examiner is responsible for ensuring adherence to compliance regulations within branch offices by evaluating sales practices and maintaining proper documentation.

In Short

• Conduct branch examinations to assess compliance with federal, state, and company regulations.
• Consult with branch managers and advisors to provide guidance on compliance issues.
• Prepare audit letters detailing deficiencies and corrective instructions.
• Independently manage all functions of branch examination.
• Utilize company tools to document findings and streamline processes.
• Plan and prepare pre-audit materials and schedule examinations.
• Engage in some domestic travel (up to 20%) for on-site evaluations.
• Collaborate with management to enhance departmental efficiency.
• Maintain a professional demeanor in client-facing roles.
• Proactively identify risks and address them effectively.

Requirements

• Bachelor's degree (B.A./B.S.) and at least three years of experience in the financial services industry.
• Proficient in Microsoft applications (Word, Excel, Outlook).
• Strong relationship-building and collaboration skills.
• Excellent customer service and communication skills.
• Ability to work independently and manage multiple responsibilities.
• Detail-oriented with a proven track record in compliance roles.
• FINRA securities registrations preferred (SIE, Series 7, Series 24).
• Prior compliance or supervisory experience preferred.
• Ability to lift at least 40 pounds for travel-related tasks.
• Strong problem-solving skills in complex environments.

Benefits

• Competitive salary based on experience and performance.
• 401K matching and health benefits.
• Employee stock options and paid time off.
• Volunteer time off and additional perks.
• Supportive and innovative work environment.
• Opportunities for career growth and development.
• Commitment to workplace equality and community involvement.
• Access to a comprehensive Total Rewards package.
• Flexibility to manage client relationships effectively.
• Encouragement for creativity and continuous improvement.