Branch Office Compliance Examiner

Corebridge Financial; Wisconsin; On-site; USD 65,000 - 75,000; Full time

Benefits offered by this job

Health and Wellness benefits

401(k) matching up to 6% + 3% Company

Employee Assistance Program

Matching charitable donations up to $5

Volunteer Time Off – 16 hours

Paid Time Off – 24 days

Job summary

Corebridge Financial is seeking a Compliance Examiner to oversee broker/dealer examinations across U.S. locations. You will conduct comprehensive reviews, prepare detailed reports, and liaise with branch leadership.

The role requires 3+ years in financial services compliance, FINRA Series 7, and strong communication skills. Travel up to 50% of the year is expected; a remote work arrangement is available with occasional in-person meetings.

Qualifications

• 3+ years in Financial Services compliance or branch exams.
• Detailed knowledge of retail brokerage, investment advisory products (mutual funds, variable annuities, stocks, bonds).
• FINRA Series 7 required.
• FINRA Series 24 preferred or to be obtained within 90 days of employment (two testing opportunities).
• Strong verbal and written communication skills.
• Proficiency in MS Office (Word, PowerPoint, Excel, OneDrive).
• Smarsh and RegEd preferred.

Responsibilities

• Conduct approximately 75-125 comprehensive examinations per year.
• Travel independently up to 50% of the time.
• Schedule and discuss exam expectations with branch management.
• Prepare for each exam by generating and analyzing reports and conducting pre-examination research.
• Review exam findings with branch management and draft high-quality reports.
• Educate OSJ Managers, Financial Advisors and staff on industry rules and firm policies.
• Interpret FINRA and related regulatory publications concerning broker/dealer regulation.
• Assist in training of new examiners and field management.
• Present findings to management as needed.
• Submit expense reports and archive documentation.

Skills

Financial services experience

Compliance

Branch exams

FINRA Series 7

MS Office

Smarsh/RegEd

Strong communication

Travel readiness

Education

High school diploma

Bachelor's degree preferred

Tools

MS Office: Word

MS Office: PowerPoint

MS Office: Excel

MS OneDrive

Smarsh

RegEd

Job description

Corebridge Financial is seeking a Compliance Examiner to oversee broker/dealer examinations across U.S. locations. You will conduct comprehensive reviews, prepare detailed reports, and liaise with branch leadership.

The role requires 3+ years in financial services compliance, FINRA Series 7, and strong communication skills. Travel up to 50% of the year is expected; a remote work arrangement is available with occasional in-person meetings.