Remote Branch Compliance Examiner

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

Benefits offered by this job

Health & Wellness benefits

401(k) Match up to 6%

Employee Assistance Program

Volunteer Time Off

PTO 24 days

Job summary

Corebridge Financial is seeking a Compliance Examiner to join our Legal/Compliance team. You will conduct broker-dealer examinations, travel up to 50% of the time, and report findings to branch management. The role requires 3+ years in financial services compliance and FINRA Series 7.

Strong communication skills and proficiency in MS Office, Smarsh, and RegEd are essential. A college degree is preferred; travel-ready candidates are welcome.

Qualifications

• 3+ years Financial Services industry experience - Compliance or Branch Exams preferred.
• Detailed knowledge of the retail brokerage business and investment products.
• FINRA Series 7 is required.
• FINRA Series 24 strongly preferred or must be obtained within 90 days of employment.
• Strong verbal and written communications skills.
• Proficiency in MS Office; Smarsh and RegEd preferred.
• High school diploma required; college degree strongly preferred.
• Must be extremely detail-oriented and able to work independently.
• Must have the ability to travel across the United States.

Responsibilities

• Conduct approximately 75–125 examinations per year.
• Travel independently up to 50% of the time.
• Schedule and discuss exam expectations with branch management.
• Prepare for exams by generating reports and pre-examination research.
• Review exam findings with branch management.
• Draft and issue examination reports in a timely manner.
• Educate OSJ Managers and staff on rules, regulations and policies.
• Interpret FINRA and other broker/dealer publications.
• Assist in training new examiners and field management.
• Present to management as needed.
• Archive documentation after examinations.

Skills

Financial Services

Compliance

Branch Exams

FINRA Series 7

FINRA Series 24 preferred

MS Office

Smarsh RegEd

Detail-oriented

Travel capable

Education

High School Diploma

College Degree Preferred

Tools

MS Office

Smarsh

RegEd

Job description

Corebridge Financial is seeking a Compliance Examiner to join our Legal/Compliance team. You will conduct broker-dealer examinations, travel up to 50% of the time, and report findings to branch management. The role requires 3+ years in financial services compliance and FINRA Series 7.

Strong communication skills and proficiency in MS Office, Smarsh, and RegEd are essential. A college degree is preferred; travel-ready candidates are welcome.