Field Compliance Examiner — Branch Inspections & Risk

First Command Financial Services, Inc.; Fort Worth (TX); On-site; USD 90,000 - 130,000; Full time

Job summary

First Command Financial Services, Inc. is seeking a Compliance Officer, Field Examiner to support its branch inspection program. You will plan and conduct inspections of OSJs, branch offices, and supervisory locations to verify adherence to FINRA, SEC, and firm policies.

The role requires analyzing risk indicators, preparing reports, and providing guidance to advisors and management. Travel 30-40% is expected, with occasional special projects and training duties.

Qualifications

• Bachelor's degree in a relevant field; experience may substitute.
• 3+ years in compliance, supervision, or branch examinations in financial services.
• Series 7 and 24 required; other licenses preferred or obtainable.
• Knowledge of FINRA, SEC and state broker-dealer regulations.
• Strong interviewing, writing, and presentation skills.

Responsibilities

• Conduct inspections of OSJs, branches and related locations per regulations.
• Analyze data to identify risk indicators and areas for enhanced supervision.
• Prepare inspection reports and address deficiencies timely.
• Elevate potential violations or risk events promptly.
• Provide guidance and training on regulatory requirements.
• Maintain examination workpapers and documentation.

Skills

Multi-tasking

Regulatory knowledge

Analytical skills

Written communication

Interpersonal skills

Presentation skills

Education

Bachelor's degree in a relevant field

Job description

First Command Financial Services, Inc. is seeking a Compliance Officer, Field Examiner to support its branch inspection program. You will plan and conduct inspections of OSJs, branch offices, and supervisory locations to verify adherence to FINRA, SEC, and firm policies.

The role requires analyzing risk indicators, preparing reports, and providing guidance to advisors and management. Travel 30-40% is expected, with occasional special projects and training duties.