Branch Compliance Examiner - FINRA/SEC

Madison-Davis, LLC; Dallas (TX); Sur place; USD 90 000 - 135 000; Plein temps

Résumé du poste

Madison-Davis, LLC seeks a Compliance Officer to oversee branch examination activities and evaluate adherence to securities regulations, supervisory standards, and internal policies. You will lead risk-based reviews of financial advisor offices, assess supervisory controls, and propose corrective actions.

The role requires independent examination management and strong stakeholder relationships. The ideal candidate will have experience in broker-dealer compliance, branch inspections, or

Qualifications

• Bachelor's degree in a relevant discipline preferred; equivalent experience may be considered.
• 3+ years in securities compliance, branch examinations, or risk management.
• FINRA Series 7 and Series 24 licenses required or obtainable within timeframe.
• Knowledge of FINRA, SEC, and state regulations governing broker-dealers and RIAs.
• Strong supervisory controls understanding and regulatory documentation skills.

Responsabilités

• Plan and conduct regulatory compliance examinations of broker-dealer and investment advisory locations, including supervisory offices and remote sites.
• Review advisory activities, procedures, client documentation, and operations for regulatory compliance.
• Assess effectiveness of supervisory controls and identify risks.
• Apply risk-based examination techniques using data and regulatory developments.
• Maintain examination records and supporting documentation.
• Identify violations, weaknesses, and areas needing investigation.
• Prepare detailed examination reports with findings and corrective actions.
• Coordinate with compliance leadership to resolve deficiencies and track remediation.
• Evaluate corrective actions to ensure issues are addressed.
• Escalate significant concerns and suspected misconduct as needed.
• Analyze examination trends to identify recurring issues and opportunities for improvement.
• Provide guidance on securities regulations and supervisory expectations to staff.

Connaissances

Analytical skills

Investigative skills

Interviewing skills

Problem-solving

Written communication

Interpersonal skills

Presentation skills

Stakeholder management

Formation

Bachelor's degree (relevant discipline)

Equivalent industry experience

Description du poste

Madison-Davis, LLC seeks a Compliance Officer to oversee branch examination activities and evaluate adherence to securities regulations, supervisory standards, and internal policies. You will lead risk-based reviews of financial advisor offices, assess supervisory controls, and propose corrective actions.

The role requires independent examination management and strong stakeholder relationships. The ideal candidate will have experience in broker-dealer compliance, branch inspections, or