Remote Branch Office Compliance Examiner

Corebridge Financial; Tacoma, Baltimore (WA, MD); On-site; USD 65,000 - 75,000; Full time

Job summary

Corebridge Financial seeks a Compliance Examiner to support our brokerage oversight team. You will conduct examinations, travel up to 50% across the United States, and generate timely, high-quality reports.

You will interpret FINRA guidance, train staff, and partner with OSJ Managers and Financial Advisors to ensure adherence to industry rules. FINRA Series 7 is required; Series 24 preferred.

Qualifications

• 3+ years in financial services with compliance or branch exams experience.
• Detailed knowledge of retail brokerage, investment advisory products (funds, annuities, stocks, bonds).
• FINRA Series 7 is required.
• FINRA Series 24 strongly preferred or must be obtained within 90 days (2 testing opportunities).
• Strong verbal and written communication skills.
• MS Office proficiency (Word, PowerPoint, Excel, OneDrive).
• Smarsh and RegEd familiarity preferred.
• High school diploma required; college degree preferred.
• Must be extremely detail-oriented, investigative, and able to work independently.
• Travel up to 50% for branch visits; able to travel by car, train, or plane.

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 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 rules and policies.
• Interpret the Written Supervisory Procedures, FINRA manual, Compliance notices and 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.
• Submit expense reports in a timely manner.
• Archive documentation and supporting paperwork upon conclusion of examinations.

Skills

Financial services

Compliance

Exam experience

Verbal/written comms

MS Office

Detail oriented

Independent work

Travel readiness

Education

High school diploma

College degree preferred

Tools

Smarsh

RegEd

Job description

Corebridge Financial seeks a Compliance Examiner to support our brokerage oversight team. You will conduct examinations, travel up to 50% across the United States, and generate timely, high-quality reports.

You will interpret FINRA guidance, train staff, and partner with OSJ Managers and Financial Advisors to ensure adherence to industry rules. FINRA Series 7 is required; Series 24 preferred.