Branch Office Examiner

Corebridge Financial, Inc.; Town of Texas (WI); Remote; USD 57,000 - 72,000; Full time

Job summary

A leading financial services firm is seeking a Branch Office Examiner responsible for conducting compliance examinations. The successful candidate will travel frequently and ensure regulatory adherence across various branches, while also preparing detailed reports and educating staff on compliance protocols. Candidates should possess strong financial industry experience and communication skills.

Benefits

Health and wellness benefits

401(k) with company match

Paid time off (at least 24 days)

Volunteer Time Off

Employee Assistance Program

Matching charitable donations

Qualifications

• 3+ years Financial Services industry experience required.
• FINRA Series 7 is a must, Series 24 preferred.
• Detailed knowledge of investment products required.

Responsibilities

• Conduct 50-100 examinations per year.
• Travel up to 50% to branch offices.
• Draft high-quality examination reports.

Skills

Compliance knowledge

Verbal communication

Written communication

Attention to detail

Investigative skills

Education

High school diploma

College degree (strongly preferred)

Tools

MS Office

Smarsh

Job description

Who We Are

At Corebridge Financial, we believe action is everything. That’s why every day we partner with financial professionals and institutions to make it possible for more people to take action in their financial lives, for today and tomorrow.

We align to a set of Values that are the core pillars that define our culture and help bring our brand purpose to life:

• We are stronger as one: We collaborate across the enterprise, scale what works and actdecisively for our customers and partners.
• We deliver on commitments: We are accountable, empower each other and go above and beyond for our stakeholders.
• We learn, improve and innovate: We get better each day by challenging the status quo and equipping ourselves for the future.
• We are inclusive: We embrace different perspectives, enabling our colleagues to make an impact and bring their whole selves to work.

Who You’ll Work With

The Legal, Compliance, Regulatory and Government Affairs department is a diverse team comprised of attorneys and other professionals providing high quality advisory and transactional support with integrity and objectivity across all parts of the organization.

The team ensures an operating environment that minimizes legal, regulatory and reputational risks and complies with all laws and regulations and Corebridge policies and procedures. As a member of this team, which has received industry recognition for its leadership and innovative solutions, you will have the opportunity to participate in the award-winning Corebridge pro bono program.

About The Role

Branch Office Examiner will be responsible for conducting examinations, scheduling and discuss expectations with branch managers, and present finding to multiple parties.

Responsibilities

• Conduct approximately 50-100 comprehensive examinations per year.
• Travel independently up to 50% of the time.
• Schedule and discuss exam expectations with the branch management.
• Prepare for each exam by generating and analyzing various reports and conducting comprehensive pre-examination research.
• Review exam findings with branch management.
• Draft and issue high quality examination reports in a timely manner.
• Educate OSJ Managers, Financial Advisors and support staff on various industry rules, regulations and firm policies during the exam.
• Interpret the Written Supervisory Procedures, FINRA manual, Compliance notices and other publications concerning broker/dealer regulation.
• Assist in the training of new examiners and field management as needed.
• Perform for cause exams as needed.
• Present to multiple parties, including field management and upper management as needed.

Please note this is not an exhaustive list of all responsibilities of the position, and the requirements of the job may change in line with business needs.

Skills and Qualifications

• 3+ years Financial Services industry experience - Compliance or Branch Exams experience required.
• Detailed knowledge of the retail brokerage business, investment advisory business, and common investment products - including mutual funds, variable annuities, stocks, and bonds.
• FINRA Series 7 is required.
• FINRA Series 24 license is strongly preferred, or must be obtained within 90 days of employment. Two testing opportunities will be allowed.
• Strong verbal and written communications skills required.
• Proficiency in MS Office, including Word, PowerPoint, Excel and OneDrive.
• Proficiency in Smarsh preferred.
• High school diploma required; college degree strongly preferred.
• Must be extremely detail-oriented, investigative and have the ability to work independently.
• Must be able to deliver negative results in a professional manner.
• Must have the ability to: Travel via automobile, train, and/or airplane to visit branch offices throughout the United States in business attire throughout the year; Carry luggage, a corporate-issued cell phone, a briefcase and a company furnished laptop.

Compensation

The anticipated salary range for this position is $57,500 to $72,000 at the commencement of employment. Not all candidates will be eligible for the upper end of the salary range. The actual compensation offered will ultimately be dependent on multiple factors, which may include the candidate’s geographic location, skills, experience and other qualifications.

In addition, the position is eligible for a discretionary bonus in accordance with the terms of the applicable incentive plan.

Corebridge also offers a range of competitive benefits as part of the total compensation package, as detailed below.

Work Location

This position is currently designated as remote.

May include up to 50%

Why Corebridge?

At Corebridge Financial, we prioritize the health, well-being, and work-life balance of our employees. Our comprehensive benefits and wellness program is designed to support employees both personally and professionally, ensuring that they have the resources and flexibility needed to thrive.

Benefit Offerings Include:

• Health and Wellness: We offer a range of medical, dental and vision insurance plans, as well as mental health support and wellness initiatives to promote overall well-being.
• Retirement Savings: We offer retirement benefits options, which vary by location.In the U.S., our competitive 401(k) Plan offers a generous dollar-for-dollar Company matching contribution of up to 6% of eligible pay and a Company contribution equal to 3% of eligible pay (subject to annual IRS limits and Plan terms). These Company contributions vest immediately.
• Employee Assistance Program: Confidential counseling services and resources are available to all employees.
• Matching charitable donations: Corebridge matches donations to tax-exempt organizations 1:1, up to $5,000.
• Volunteer Time Off: Employees may use up to 16 volunteer hours annually to support activities that enhance and serve communities where employees live and work.
• Paid Time Off: Eligible employees start off with at least 24 Paid Time Off (PTO) days so they can take time off for themselves and their families when they need it.

Eligibility for and participation in employer-sponsored benefit plans and Company programs will be subject to applicable law, governing Plan document(s) and Company policy.

We are an Equal Opportunity Employer

Corebridge Financial, is committed to being an equal opportunity employer and we comply with all applicable federal, state, and local fair employment laws. All applicants will be considered for employment based on job-related qualifications and without regard to race, color, religion, sex, gender, gender identity or expression, sexual orientation, national origin, disability, neurodivergence, age, veteran status, or any other protected characteristic. The Company is also committed to compliance with all fair employment practices regarding citizenship and immigration status. At Corebridge Financial, we believe that diversity and inclusion are critical to building a creative workplace that leads to innovation, growth, and profitability. Through a wide variety of programs and initiatives, we invest in each employee, seeking to ensure that our colleagues are respected as individuals and valued for their unique perspectives.

Corebridge Financial is committed to working with and providing reasonable accommodations to job applicants and employees, including any accommodations needed on the basis of physical or mental disabilities or sincerely held religious beliefs.If you believe you need a reasonable accommodation in order to search for a job opening or to complete any part of the application or hiring process, please send an email to [e-mail] .Reasonable accommodations will be determined on a case-by-case basis, in accordance with applicable federal, state, and local law.

We will consider for employment qualified applicants with criminal histories, consistent with applicable law.

Who We Are

At Corebridge Financial, we believe action is everything. That’s why every day we partner with financial professionals and institutions to make it possible for more people to take action in their financial lives, for today and tomorrow.

We align to a set of Values that are the core pillars that define our culture and help bring our brand purpose to life:

• We are stronger as one: We collaborate across the enterprise, scale what works and actdecisively for our customers and partners.
• We deliver on commitments: We are accountable, empower each other and go above and beyond for our stakeholders.
• We learn, improve and innovate: We get better each day by challenging the status quo and equipping ourselves for the future.
• We are inclusive: We embrace different perspectives, enabling our colleagues to make an impact and bring their whole selves to work.

Who You’ll Work With

The Legal, Compliance, Regulatory and Government Affairs department is a diverse team comprised of attorneys and other professionals providing high quality advisory and transactional support with integrity and objectivity across all parts of the organization.

The team ensures an operating environment that minimizes legal, regulatory and reputational risks and complies with all laws and regulations and Corebridge policies and procedures. As a member of this team, which has received industry recognition for its leadership and innovative solutions, you will have the opportunity to participate in the award-winning Corebridge pro bono program.

About The Role

Branch Office Examiner will be responsible for conducting examinations, scheduling and discuss expectations with branch managers, and present finding to multiple parties.

Responsibilities

• Conduct approximately 50-100 comprehensive examinations per year.
• Travel independently up to 50% of the time.
• Schedule and discuss exam expectations with the branch management.
• Prepare for each exam by generating and analyzing various reports and conducting comprehensive pre-examination research.
• Review exam findings with branch management.
• Draft and issue high quality examination reports in a timely manner.
• Educate OSJ Managers, Financial Advisors and support staff on various industry rules, regulations and firm policies during the exam.
• Interpret the Written Supervisory Procedures, FINRA manual, Compliance notices and other publications concerning broker/dealer regulation.
• Assist in the training of new examiners and field management as needed.
• Perform for cause exams as needed.
• Present to multiple parties, including field management and upper management as needed.

Please note this is not an exhaustive list of all responsibilities of the position, and the requirements of the job may change in line with business needs.

Skills and Qualifications

• 3+ years Financial Services industry experience - Compliance or Branch Exams experience required.
• Detailed knowledge of the retail brokerage business, investment advisory business, and common investment products - including mutual funds, variable annuities, stocks, and bonds.
• FINRA Series 7 is required.
• FINRA Series 24 license is strongly preferred, or must be obtained within 90 days of employment. Two testing opportunities will be allowed.
• Strong verbal and written communications skills required.
• Proficiency in MS Office, including Word, PowerPoint, Excel and OneDrive.
• Proficiency in Smarsh preferred.
• High school diploma required; college degree strongly preferred.
• Must be extremely detail-oriented, investigative and have the ability to work independently.
• Must be able to deliver negative results in a professional manner.
• Must have the ability to: Travel via automobile, train, and/or airplane to visit branch offices throughout the United States in business attire throughout the year; Carry luggage, a corporate-issued cell phone, a briefcase and a company furnished laptop.

Compensation

The anticipated salary range for this position is $57,500 to $72,000 at the commencement of employment. Not all candidates will be eligible for the upper end of the salary range. The actual compensation offered will ultimately be dependent on multiple factors, which may include the candidate’s geographic location, skills, experience and other qualifications.

In addition, the position is eligible for a discretionary bonus in accordance with the terms of the applicable incentive plan.

Corebridge also offers a range of competitive benefits as part of the total compensation package, as detailed below.

Work Location

This position is currently designated as remote.

Estimated Travel

May include up to 50%

Why Corebridge?

At Corebridge Financial, we prioritize the health, well-being, and work-life balance of our employees. Our comprehensive benefits and wellness program is designed to support employees both personally and professionally, ensuring that they have the resources and flexibility needed to thrive.

Benefit Offerings Include:

• Health and Wellness: We offer a range of medical, dental and vision insurance plans, as well as mental health support and wellness initiatives to promote overall well-being.
• Retirement Savings: We offer retirement benefits options, which vary by location.In the U.S., our competitive 401(k) Plan offers a generous dollar-for-dollar Company matching contribution of up to 6% of eligible pay and a Company contribution equal to 3% of eligible pay (subject to annual IRS limits and Plan terms). These Company contributions vest immediately.
• Employee Assistance Program: Confidential counseling services and resources are available to all employees.
• Matching charitable donations: Corebridge matches donations to tax-exempt organizations 1:1, up to $5,000.
• Volunteer Time Off: Employees may use up to 16 volunteer hours annually to support activities that enhance and serve communities where employees live and work.
• Paid Time Off: Eligible employees start off with at least 24 Paid Time Off (PTO) days so they can take time off for themselves and their families when they need it.

Eligibility for and participation in employer-sponsored benefit plans and Company programs will be subject to applicable law, governing Plan document(s) and Company policy.

We are an Equal Opportunity Employer

Corebridge Financial, is committed to being an equal opportunity employer and we comply with all applicable federal, state, and local fair employment laws. All applicants will be considered for employment based on job-related qualifications and without regard to race, color, religion, sex, gender, gender identity or expression, sexual orientation, national origin, disability, neurodivergence, age, veteran status, or any other protected characteristic. The Company is also committed to compliance with all fair employment practices regarding citizenship and immigration status. At Corebridge Financial, we believe that diversity and inclusion are critical to building a creative workplace that leads to innovation, growth, and profitability. Through a wide variety of programs and initiatives, we invest in each employee, seeking to ensure that our colleagues are respected as individuals and valued for their unique perspectives.

Corebridge Financial is committed to working with and providing reasonable accommodations to job applicants and employees, including any accommodations needed on the basis of physical or mental disabilities or sincerely held religious beliefs.If you believe you need a reasonable accommodation in order to search for a job opening or to complete any part of the application or hiring process, please send an email to [e-mail] .Reasonable accommodations will be determined on a case-by-case basis, in accordance with applicable federal, state, and local law.

We will consider for employment qualified applicants with criminal histories, consistent with applicable law.

To learn more please visit: www.corebridgefinancial.com

Functional Area:

CP - ComplianceEstimated Travel Percentage (%): Up to 50%Relocation Provided: NoAmerican General Life Insurance Company

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About Us

Corebridge Financial makes it possible for more people to take action in their financial lives. Corebridge is one of the largest providers of retirement solutions and insurance products in the United States. We proudly partner with financial professionals and institutions to help individuals plan, save for and achieve secure financial futures. For more information, visit www.corebridgefinancial.com . Thank you for your interest in joining our team.