Remote Field Compliance Examiner (Travel 50%)

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

Benefits offered by this job

Health benefits

401(k) match

Employee assistance program

Volunteer time off

Paid time off

Job summary

Corebridge Financial is seeking a Compliance Examiner to perform broker/dealer examinations and assure regulatory compliance across the U.S. You will travel up to 50% of the time, conduct examinations, generate reports, and present findings to branch management and senior leadership.

The role requires FINRA Series 7, preferably Series 24, and strong communication skills. A Bachelor's degree is preferred, with attention to detail and ability to work independently in a fast-paced environment.

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 - including mutual funds, variable annuities, stocks, and bonds.
• FINRA Series 7 is required.
• FINRA Series 24 license is strongly preferred or must be obtained within 90 days of employment. Two testing opportunities will be allowed.
• Strong verbal and written communications skills required.
• Proficiency in MS Office, including Word, PowerPoint, Excel and OneDrive.
• Proficiency in Smarsh and RegEd preferred.
• High school diploma required; college degree strongly preferred.
• Must be extremely detail-oriented, investigative and can work independently.
• Must have the ability to travel to visit branch offices throughout the United States in business attire throughout the year; carry luggage, a briefcase, company furnished cell phone and company furnished laptop.

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 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 experience

FINRA Series 7

Communication skills

Detail oriented

Independent worker

Education

High school diploma

College degree

Tools

MS Office

Smarsh

RegEd

Job description

Corebridge Financial is seeking a Compliance Examiner to perform broker/dealer examinations and assure regulatory compliance across the U.S. You will travel up to 50% of the time, conduct examinations, generate reports, and present findings to branch management and senior leadership.

The role requires FINRA Series 7, preferably Series 24, and strong communication skills. A Bachelor's degree is preferred, with attention to detail and ability to work independently in a fast-paced environment.