Compliance Branch Examiner
| Company | Integrity |
|---|---|
| Location | Grimes, IA, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | |
| Experience Level | Mid Level, Senior |
Requirements
- 3+ years of experience in Compliance or Branch Examination. Experience with an Independent Broker-Dealer is a plus.
- Minimum of high school diploma or equivalent is required.
- Must have a valid driver’s license
- FINRA Series 7 and 24 required. Candidates without proper licensing must obtain within 6 months of employment
- Proficiency in MS Office.
- Strong verbal and written communications skills required.
Responsibilities
- Conduct approximately 80 -120 exams per year either onsite or remotely.
- Prepare for each exam by generating and analyzing various reports, spreadsheets and data points.
- Schedule and discuss exam expectations with the branch personnel.
- Review exam findings with OSJ and Satellite Branch Managers.
- Send exam reports to OSJ, CCO and Supervision and Compliance departments in a timely and effective manner.
- Educate branch personnel, Financial Professionals and support staff on various industry rules, regulations, and firm policies during the exam.
- Identify and share best practices with OSJ Managers regarding supervisory systems during the exam.
Preferred Qualifications
- Experience with an Independent Broker-Dealer is a plus.
- FINRA Series 63 and/or 66 is preferred.
- Travel up to 60%