Financial Services Compliance Examiner

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

Benefits offered by this job

Health & Wellness

401(k) Plan

Employee Assistance

Donation matching

Volunteer Time Off

Paid Time Off

Job summary

Corebridge Financial is seeking a Compliance Examiner to conduct broker/dealer examinations across the United States, up to 50% travel. The role requires FINRA Series 7, ideally Series 24, and 3+ years in financial services compliance or branch exams.

Strong communication, detail orientation, and MS Office proficiency are essential. This remote position offers a base salary of $65,000–$75,000 plus discretionary bonuses and robust benefits.

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.
• FINRA Series 7 is required.
• FINRA Series 24 license is strongly preferred or must be obtained within 90 days of employment.
• 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 and able to work independently.
• Must be able to travel to branch offices throughout the United States in business attire.

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 rules, regulations and firm policies.
• Interpret supervisory procedures and FINRA publications concerning broker/dealer regulation.
• Assist in training of new examiners and field management as needed.
• Perform for-cause exams as needed.
• Present to multiple parties, including field and upper management.
• Submit expense reports in a timely manner.
• Archive documentation and supporting paperwork upon conclusion of examinations.

Skills

FINRA Series 7

Branch Exams experience

Retail brokerage knowledge

MS Office

Smarsh and RegEd

Strong verbal and written skills

Travel willingness

Detail-oriented

Bachelor's degree preferred

High school diploma required

Education

High school diploma

College degree preferred

Tools

Smarsh

RegEd

MS Office (Word, PowerPoint, Excel, OneDrive)

Job description

Corebridge Financial is seeking a Compliance Examiner to conduct broker/dealer examinations across the United States, up to 50% travel. The role requires FINRA Series 7, ideally Series 24, and 3+ years in financial services compliance or branch exams.

Strong communication, detail orientation, and MS Office proficiency are essential. This remote position offers a base salary of $65,000–$75,000 plus discretionary bonuses and robust benefits.