Job Description:
• Execution of the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country
• Detailed documentation of testing in branch exam system and related work papers
• Ensure prescribed sample methodologies are used and resulting sample sizes provide an adequate reflection of the activity being tested
• Clear communication of all exam findings to branch management, exam managers and compliance leadership
• Provide reporting of exam findings and complete any related follow up in a timely manner
• Ensure risks and adverse trends are identified and escalated
• Provide compliance support to business partners, as needed
• Maintain regular interaction with Compliance and Supervision partners
• Complete special and ad hoc reviews and projects, as identified, in a quality and timely manner
• Provide guidance and mentoring to less-experienced peer group members
Requirements:
• Bachelor’s degree (B.A. /B.S.)
• Minimum of three (3) years of licensed examination experience
• Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe (Series 7, 24 or willing to obtain within 120 days of employment)
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred
Benefits:
• Medical, dental, and vision
• Life insurance
• Critical illness insurance and accident insurance
• Disability benefits
• Retirement savings
• Paid time off (including vacation, holidays, and sick leave)
• Parental leave