Examiner - Remote

Overview

The Examiner is responsible for ensuring compliance with regulations in financial services by evaluating branch activities and consulting with advisors and branch managers.

In Short

• Focus on sales practices and compliance with regulations.
• Consult with branch managers and advisors.
• Conduct branch examinations both virtually and onsite.
• Prepare audit letters and provide corrective instructions.
• Manage travel arrangements for audits.
• Collaborate with peers to streamline processes.
• Possibility of some domestic travel (up to 20%).
• Proficient in Microsoft applications.
• Excellent customer service and communication skills required.
• Requires a Bachelor’s degree and financial services experience.

Requirements

• Professional demeanor for client-facing roles.
• Ability to lift at least 40 pounds for travel.
• Strong collaboration and relationship-building skills.
• Proactive risk identification and problem-solving skills.
• Detail-oriented and capable of working independently.
• FINRA securities registrations preferred.
• Prior compliance or supervisory experience preferred.

Benefits

• 401K matching.
• Health benefits.
• Employee stock options.
• Paid time off and volunteer time off.
• Competitive total rewards package.