Remote Compliance Examiner – FINRA & Branch Exams

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

Benefits offered by this job

Health and Wellness

Retirement Savings

Employee Assistance Program

Matching charitable donations

Volunteer Time Off

Paid Time Off

Job summary

Corebridge Financial is seeking a Compliance Examiner to join the Legal/Compliance team. You will conduct examinations of branch operations, review supervisory procedures, and ensure regulatory adherence across the United States.

This role requires FINRA licenses, travel up to 50%, and strong communication skills. The company offers a comprehensive benefits package and a competitive base salary.

Qualifications

• 3+ years Financial Services industry experience - Compliance or Branch Exams experience preferred.
• Knowledge of the retail brokerage business, investment advisory products and common investments.
• FINRA Series 7 is required.
• FINRA Series 24 license strongly preferred or must be obtained within 90 days of employment.
• Strong verbal and written communications skills; MS Office proficiency.

Responsibilities

• Conduct approximately 75-125 comprehensive examinations per year.
• Travel independently up to 50% of the time.
• Prepare for each exam by generating and analyzing reports and conducting pre-examination research.
• Review exam findings with branch management and draft timely high-quality reports.
• Educate OSJ Managers, Financial Advisors and staff on industry rules, regulations and firm policies.

Skills

Financial Services experience

Compliance

Branch exams

FINRA Series 7

FINRA Series 24

MS Office

Detail-oriented

Travel up to 50%

Education

High school diploma

College degree preferred

Tools

Smarsh

RegEd

Job description

Corebridge Financial is seeking a Compliance Examiner to join the Legal/Compliance team. You will conduct examinations of branch operations, review supervisory procedures, and ensure regulatory adherence across the United States.

This role requires FINRA licenses, travel up to 50%, and strong communication skills. The company offers a comprehensive benefits package and a competitive base salary.