Remote Branch Office Compliance Examiner

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

Benefits offered by this job

Health insurance

401(k) with company match up to 6%

Employee Assistance Program

Charitable donations match 1:1 up to $

Volunteer Time Off

PTO 24 days

Job summary

Corebridge Financial is seeking a compliance examiner to perform broker-dealer examinations and provide guidance to branch offices across the United States. The role emphasizes thorough reporting, regulatory interpretation, and on-going training support for field management.

The ideal candidate has 3+ years in financial services compliance, FINRA Series 7, and strong communication skills. This is a remote role with travel up to half the year and a competitive benefits package.

Qualifications

• 3+ years in Financial Services with compliance or branch exams experience.
• Deep knowledge of retail brokerage, investment advisory products (mutual funds, annuities, stocks, bonds).
• FINRA Series 7 required.
• FINRA Series 24 strongly preferred or must be obtained within 90 days.
• Excellent verbal and written communication skills.
• Proficient in MS Office (Word, PowerPoint, Excel, OneDrive); Smarsh and RegEd preferred.
• High school diploma required; college degree strongly preferred.
• Must be detail-oriented, investigative, and able to work independently.
• Must have the ability to travel to visit branch offices across the United States in business attire.

Responsibilities

• Conduct approximately 75-125 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 various industry rules, regulations and firm policies during the exam.
• Interpret the Written Supervisory Procedures, FINRA manual, Compliance notices 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 as needed.
• Submit expense reports in a timely manner.
• Archive documentation and supporting paperwork upon conclusion of examinations.

Skills

Financial Services compliance

Brokerage exams

FINRA Series 7

FINRA Series 24

MS Office

Smarsh

RegEd

Strong communication

Detail oriented

Travel ability

Education

High school diploma

College degree

Job description

Corebridge Financial is seeking a compliance examiner to perform broker-dealer examinations and provide guidance to branch offices across the United States. The role emphasizes thorough reporting, regulatory interpretation, and on-going training support for field management.

The ideal candidate has 3+ years in financial services compliance, FINRA Series 7, and strong communication skills. This is a remote role with travel up to half the year and a competitive benefits package.