Remote Branch Compliance Examiner

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

Benefits offered by this job

Health and Wellness

401(k) matching

Employee Assistance Program

Matching charitable donations

Volunteer Time Off

Paid Time Off

Job summary

Corebridge Financial is seeking a Compliance Examiner to perform broker/dealer regulatory examinations. You will conduct 75–125 exams annually, travel up to 50%, and prepare high-quality reports while educating branch staff on industry rules and policies.

The role requires FINRA licenses, strong communication, and meticulous attention to detail, with remote work option and a discretionary bonus program. Candidates should be prepared to travel and interact with senior management.

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.
• 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 branch offices across the United States in business attire.

Responsibilities

• Conduct approximately 75-125 examinations per year.
• Travel up to 50% of the time.
• Schedule and discuss exam expectations with branch management.
• Prepare for each exam by generating and analyzing 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 staff on industry rules and firm policies.
• Interpret FINRA and regulatory publications concerning broker/dealer regulation.
• Assist in training new examiners and field management as needed.
• Perform for-cause exams as needed.
• Present to management as needed.
• Submit expense reports promptly.
• Archive documents after examinations.

Skills

Financial Services

Brokerage knowledge

FINRA Series 7

FINRA Series 24

Communication skills

MS Office

Smarsh RegEd

Bachelor's degree preferred

Detail-oriented

Travel willingness

Education

High school diploma

College degree preferred

Tools

MS Office

Smarsh

RegEd

Job description

Corebridge Financial is seeking a Compliance Examiner to perform broker/dealer regulatory examinations. You will conduct 75–125 exams annually, travel up to 50%, and prepare high-quality reports while educating branch staff on industry rules and policies.

The role requires FINRA licenses, strong communication, and meticulous attention to detail, with remote work option and a discretionary bonus program. Candidates should be prepared to travel and interact with senior management.