Compliance Examiner - Broker Dealer
$89,800–$125,500 year
Remote
Job Summary
Plan, schedule, and conduct on-site and remote examinations of Broker/Dealer and RIA branch offices, as well as registered representatives. Review books and records including client files, trade blotters, and financial records to ensure adherence to regulatory standards. Conduct interviews with branch managers and staff to evaluate supervisory effectiveness and identify compliance risks. Document deficiencies and violations clearly, then prepare detailed examination reports summarizing findings and recommendations. Follow up with branches to verify remediation of identified issues. Collaborate with the Chief Compliance Officer to analyze trends and develop proactive solutions. Conduct approximately 70–90 branch examinations per year with 80-90% travel, requiring residence within one hour of a major airport.
Required Qualifications
- Bachelor's degree in Finance, Accounting, Business, or a related field; or equivalent experience
- 3–5 years of experience as a compliance examiner or auditor within the financial services industry, preferably with a broker-dealer
- Licenses Required: FINRA Series 7 and 24
- Strong knowledge of FINRA, SEC, and state securities regulations
- Proven experience conducting on-site audits or branch examinations
- Proficiency in Microsoft Office Suite and familiarity with regulatory filing systems (e.g., FINRA Gateway)
- Exceptional analytical and investigative skills with attention to detail
- Excellent written and verbal communication skills, with the ability to present complex findings clearly
- Ability to work independently and manage a demanding travel schedule
- Strong organizational and time-management abilities
- Travel: 80-90%
- Must reside within one hour of a major airport to facilitate travel
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.