Remote Branch Compliance Examiner

Corebridge Financial; Bowling Green (KY); On-site; USD 65,000 - 75,000; Full time

Job summary

Corebridge Financial is hiring a Compliance Examiner in a remote role with periodic travel to branch offices across the United States. You will conduct examinations, prepare reports, and interpret regulatory guidance to support brokers and advisory teams.

Your responsibilities include coordinating with branch management, educating staff on rules, and ensuring timely completion of examinations while maintaining high quality reporting.

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 (mutual funds, variable annuities, stocks, 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.
• 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 able to work independently.
• Must be able to travel to visit branch offices across 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 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 industry rules, regulations and firm policies.
• Interpret Written Supervisory Procedures, FINRA manual 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.
• Submit expense reports in a timely manner.
• Archive documentation and supporting paperwork upon conclusion of examinations.

Skills

Financial Services

Compliance

Branch Exams

Verbal & Written Communication

MS Office

Smarsh/RegEd

Detail-oriented

Travel Ability

Education

High school diploma

College degree preferred

Tools

MS Office (Word, PowerPoint, Excel, OneDrive)

Smarsh

RegEd

Job description

Corebridge Financial is hiring a Compliance Examiner in a remote role with periodic travel to branch offices across the United States. You will conduct examinations, prepare reports, and interpret regulatory guidance to support brokers and advisory teams.

Your responsibilities include coordinating with branch management, educating staff on rules, and ensuring timely completion of examinations while maintaining high quality reporting.