Branch Examiner

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

Steward Partners Global Advisory is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and comprehensive service to our clients and their families.

Steward Partners Global Advisory caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering comprehensive client service with an unwavering commitment to excellence.

Position Overview

The Branch Examiner will be responsible for executing both onsite and remote office inspections across the Firm.

Duties and Responsibilities

• Conduct approximately 30-50 branch exams per year, either onsite or remotely
• Travel independently up to 25-50% of the time to branch locations
• Provide training and education on firm policies and procedures to branch personnel
• Schedule exams by working with onsite branch personnel and remote supervision staff
• Prepare for exams by generating and reviewing various reports
• Create and distribute an exam findings summary
• Prepare detailed reports documenting findings, investigation results, and remediation steps.
• Analyze and identify patterns of findings trending across the organization.
• Collaborate across appropriate business units to address findings and implement solutions.
• Support investigations of suspected misconduct, policy violations, or regulatory breaches.
• Design and execute internal tests in accordance with FINRA rule 3120, 206(4)-7 of the Advisors Act of 1940 and other testing initiatives.
• Support functions of the surveillance team including preparation and review of exception reports on an as needed basis
• All other duties as assigned.

Skills, Experience & Qualifications

• 2+ years of related experience in Financial Services, preferably within Wealth Management, and involvement in Audit or Compliance functions
• Bachelor’s degree or equivalent work experience
• Active FINRA Series 7, 9/10 or Series 24 licenses
• Familiarity with broker-dealer and investment adviser operations, including trading, portfolio management, and client servicing.
• Knowledge of products and markets, particularly retail brokerage, investment advisory programs, trade support, Insurance Products, banking products, and capital markets
• Ability to manage the execution of a wide range of tasks and initiatives with minimal direct supervision
• Precision in reviewing transactions, communications, and records for potential violations or discrepancies.
• Strong written and verbal communication skills. Including the ability to document findings clearly and thoroughly.
• Independent self-starter who can manage multiple activities to defined deadlines in a team setting
• Excellent analytical, critical thinking, and organizational skills with the ability to exercise good judgment
• Ability to analyze large sets of data to identify irregularities or trends indicating potential compliance issues.
• Proficient in data analysis tools as well as Microsoft Excel, PowerPoint, Word, SharePoint, and other MS Office Suite applications.

Report To

Head of Inspections & Monitoring

Seniority level

Associate

Employment type

Full-time

Job function

Finance

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Benefits

• Medical insurance
• Vision insurance
• 401(k)
• Paid maternity leave
• Paid paternity leave
• Disability insurance