Branch Office Examiner, Compliance

Corebridge Financial, Inc.; Northern (KY); Hybrid; USD 65,000 - 75,000; Full time

Benefits offered by this job

Health insurance

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

PTO 24 days

Volunteer hours

Employee assistance program

Job summary

Corebridge Financial is seeking a Branch Office Examiner to conduct examinations and ensure compliance across branch offices. The role involves up to 50% travel, preparing reports, and coordinating with branch management to set expectations and review findings.

You will draft quality examination reports, educate OSJ Managers and staff on rules, and interpret FINRA and related publications. A strong detail focus and ability to work independently are essential.

Qualifications

• 3+ years Financial Services industry experience - Compliance or Branch Exams experience preferred.
• Detailed knowledge of the retail brokerage business, investment advisory business, and common investment products - including mutual funds, variable annuities, stocks, and bonds.
• Two testing opportunities will be allowed.
• Strong verbal and written communications skills required.
• Proficiency in MS Office, including Word, PowerPoint, Excel and OneDrive.
• High school diploma required; college degree strongly preferred.
• Must be extremely detail-oriented, investigative and can work independently.
• Must have the ability to travel via automobile, train, and/or airplane to visit branch offices throughout the United States.

Responsibilities

• Conduct approximately 75-125 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.
• Submit expense reports in a timely manner.
• Archive documentation and supporting paperwork upon conclusion of examinations.

Skills

Verbal communication

Written communication

Attention to detail

MS Office

Smarsh

RegEd

Independent work

Education

FINRA Series 7 license

FINRA Series 24 license (preferred)

High school diploma

College degree preferred

Tools

Smarsh

RegEd

Job description

Who We Are At Corebridge Financial

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 act decisively 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 team is responsible for providing advice and counsel to our business and functional clients across the company. Our legal professionals help the company avoid legal exposure, while ensuring compliance with local laws and regulations in the countries where Corebridge Financial operates. Company attorneys also complete innovative deals and help shape the development of cutting-edge insurance products.

About the role

The Branch Office Examiner is responsible for the following:

• Conduct approximately 75-125 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.
• Submit expense reports in a timely manner.
• Archive documentation and supporting paperwork upon conclusion of examinations.

Skills & Qualifications

• 3+ years Financial Services industry experience - Compliance or Branch Exams experience preferred.
• 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 and RegEd preferred.
• High school diploma required; college degree strongly preferred.
• Must be extremely detail-oriented, investigative and can 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 briefcase, company furnished cell phone and company furnished laptop.

Compensation

The anticipated base salary range for this position is $65,000 to $75,000 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

• 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.

Functional Area

CP - Compliance

Estimated Travel Percentage (%): No Travel

Relocation Provided: No American General Life Insurance Company

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.