Remote Compliance Examiner – Broker-Dealer Audits

Remote; San Francisco (CA); Teletrabalho; USD 90 000 - 126 000; Tempo integral

Resumo da oferta

Horace Mann seeks an experienced Compliance Examiner to perform comprehensive examinations of Broker/Dealer and RIA branches and registered representatives. This remote role requires travel 80–90% and thorough analysis of records, interviews, and regulatory adherence.

You will prepare detailed reports, identify gaps, and work with the compliance team to implement corrective actions. 3–5 years of related experience and FINRA licenses are required.

Qualificações

• Bachelor's degree in Finance, Accounting, Business, or related field.
• 3–5 years of experience as a compliance examiner or auditor in financial services.
• FINRA Series 7 and 24 licenses.
• Strong knowledge of FINRA, SEC, and state securities regulations.
• Proven experience conducting on-site audits or branch examinations.
• Proficiency in Microsoft Office; familiarity with FINRA Gateway.
• Excellent written and verbal communication skills.

Responsabilidades

• Plan, schedule, and conduct on-site and remote examinations of Broker/Dealer and RIA branch offices, and registered representatives.
• Review client files, trade blotters, correspondence, ads, and financial records for regulatory compliance.
• Conduct interviews with branch managers, representatives, and staff to assess supervisory controls.
• Identify and document deficiencies, violations, and operational weaknesses clearly.
• Prepare examination reports with findings, recommendations, and evidence.
• Follow up with branches to verify remediation of issues.
• Collaborate with CCO to analyze trends and develop compliance solutions.
• Stay current on regulatory developments and best practices.
• Assist with special regulatory inquiries and projects as needed.
• Conduct 70–90 branch examinations per year; travel 80–90%.

Conhecimentos

Analytical skills

Investigative skills

Written and verbal communication

Organizational skills

Formação académica

Bachelor's degree

FINRA Series 7 & 24 licenses

Equivalent experience

Ferramentas

Microsoft Office Suite

FINRA Gateway

Descrição da oferta de emprego

Horace Mann seeks an experienced Compliance Examiner to perform comprehensive examinations of Broker/Dealer and RIA branches and registered representatives. This remote role requires travel 80–90% and thorough analysis of records, interviews, and regulatory adherence.

You will prepare detailed reports, identify gaps, and work with the compliance team to implement corrective actions. 3–5 years of related experience and FINRA licenses are required.