Branch Office Compliance Auditor

Rosenthal Recruiting; Chicago (IL); Hybrid; USD 70,000 - 90,000; Full time

Benefits offered by this job

Competitive salary and benefits package

Annual cash bonus potential

Career mobility

Job summary

Rosenthal Recruiting is seeking a Broker - Dealer Examiner for a full-time position based in Chicago, Illinois. This role involves reviewing branch office records to ensure compliance, conducting meetings with branch management, and leading compliance initiatives.

The ideal candidate will have complementary skills in Branch Examination, effective communication, and at least two years of relevant experience. This position includes travel across the United States and offers competitive compensation and benefits.

Qualifications

• At least two years of experience in Branch Examination or Broker-Dealer compliance.
• Effective verbal and written communication skills.
• Detail-oriented with a focus on compliance.

Responsibilities

• Review branch office records for compliance with regulations.
• Conduct interviews with branch office personnel.
• Lead Annual Compliance Meetings in branch offices.

Skills

Branch Examination experience

Effective communication skills

Attention to detail

Education

Bachelor’s Degree

Series 7 FINRA Registration

Job description

Rosenthal Recruiting is seeking a Broker - Dealer Examiner for a full-time position based in Chicago, Illinois. This role involves reviewing branch office records to ensure compliance, conducting meetings with branch management, and leading compliance initiatives.

The ideal candidate will have complementary skills in Branch Examination, effective communication, and at least two years of relevant experience. This position includes travel across the United States and offers competitive compensation and benefits.