Branch Compliance Examiner: Remote and Onsite Audits

Steward Partners; United States; On-site; USD 60,000 - 90,000; Full time

Benefits offered by this job

Medical insurance

Vision insurance

401(k)

Paid maternity leave

Paid paternity leave

Disability insurance

Job summary

A leading independent financial services firm is seeking a Branch Examiner to conduct onsite and remote inspections. The ideal candidate will have 2+ years in Financial Services, relevant licenses, and strong communication skills. Responsibilities include auditing branch operations, providing training, and ensuring compliance with regulations. This full-time role is based in the United States and offers competitive benefits including medical and 401(k).

Qualifications

• 2+ years of related experience in Financial Services, preferably within Wealth Management.
• Active FINRA Series 7, 9/10 or Series 24 licenses required.
• Ability to manage multiple activities under minimal supervision.

Responsibilities

• Conduct 30-50 branch exams annually, onsite or remotely.
• Provide training on firm policies to branch personnel.
• Collaborate with business units to address compliance findings.

Skills

Financial Services experience

Audit or Compliance functions

Written and verbal communication

Data analysis skills

Education

Bachelor’s degree or equivalent work experience

Tools

Microsoft Excel

Microsoft PowerPoint

Microsoft Word

SharePoint

Job description

A leading independent financial services firm is seeking a Branch Examiner to conduct onsite and remote inspections. The ideal candidate will have 2+ years in Financial Services, relevant licenses, and strong communication skills. Responsibilities include auditing branch operations, providing training, and ensuring compliance with regulations. This full-time role is based in the United States and offers competitive benefits including medical and 401(k).