Branch Examiner

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Branch Examiner
The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers and sales support personnel regarding office procedures and financial advisor activity in a high pressure environment. Prepare detailed work papers to support the results of the testing program. Synthesize the result of the testing program for communication to senior management. Maintain a working knowledge of current FINRA, SEC and state regulatory issues, as well as the company's own written supervisory procedures. Productively work from home full time and pro-actively communicate with colleagues located around the country. Travel for work on regular basis (approximately 30% travel) primarily throughout the geographic region. Should have a university degree, preferably in finance, economics, business administration and/or an MBA or J.D. degree. Must be able to travel overnight for extended period, but generally less than a week at a time.

Company info

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