Remote Branch Office Compliance Auditor

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

Benefits offered by this job

Health & Wellness benefits

401(k) with company match up to 6%

Employee assistance program

Matching charitable donations

Job summary

Corebridge Financial is seeking a seasoned Compliance Examiner to join the Legal/Compliance team. The role involves conducting comprehensive examinations of branch operations, reviewing reports, and ensuring adherence to FINRA rules across the U.S.

This remote position requires strong communication skills, a detail-oriented investigative mindset, and willingness to travel up to 50% of the time. A base salary with a discretionary bonus is offered along with competitive 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 - 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.
• Strong verbal and written communications skills.
• Proficiency in MS Office (Word, PowerPoint, Excel, OneDrive).
• Smarsh and RegEd preferred.
• High school diploma required; college degree strongly preferred.
• Must be extremely detail-oriented, investigative and able to work independently.
• Must have ability to travel to visit 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 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 during the exam.
• Interpret the Written Supervisory Procedures, FINRA manual and compliance publications.
• Assist in 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 as needed.
• Submit expense reports in a timely manner.
• Archive documentation after examinations.

Skills

Compliance

Branch Exams

FINRA Series 7

MS Office

Smarsh

RegEd

Attention to detail

Travel readiness

Education

High School Diploma

College Degree preferred

Tools

Smarsh

RegEd

Job description

Corebridge Financial is seeking a seasoned Compliance Examiner to join the Legal/Compliance team. The role involves conducting comprehensive examinations of branch operations, reviewing reports, and ensuring adherence to FINRA rules across the U.S.

This remote position requires strong communication skills, a detail-oriented investigative mindset, and willingness to travel up to 50% of the time. A base salary with a discretionary bonus is offered along with competitive benefits.