Branch Office Examiner - Broker/Dealer

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

Broker - Dealer, FINRA Member Investment Bank. U.S. Based Financial Services Company. Specialties and products include: Investments, Retirement Planning and Capital Markets. Offices in other major U.S. Cities certain of which are where this Examiner position may also be based.

Job Description

• Review of branch office records, completed questionnaires and branch operating procedures to ascertain compliance with Firm policies and procedures, Federal, Self Regulatory Organization (SRO) Rules and Regulations.
• Follow a set of modules assigned and formulated for the Branch Examination Program.
• Conduct one-on-one meetings/interviews with branch office management, Registered Representative and other personnel.
• Conduct Annual Compliance Meetings in Branch Offices.

Qualifications

• At least two (2) or more years of Branch Examination, Broker-Dealer compliance or regulatory work experience.
• Effective communication skills and attention to detail desired.
• Series 7 FINRA Registration, preferred.
• Bachelor’s Degree, preferred.

Additional Information

This is a full-time permanent position. The position will offer benefits available to all Company employees.

Travel within the United States may be approximately 60% annually with 100% company expense coverage reimbursement.

Competitive salary and benefits package. Annual cash bonus potential and career mobility offered.