Remote Financial Compliance Examiner

Corebridge Financial; Indiana (PA); On-site; USD 65,000 - 75,000; Full time

Benefits offered by this job

Health insurance

401(k) match

Employee assistance program

Charitable donations match

Volunteer time off

PTO 24 days

Job summary

Corebridge Financial is seeking an experienced Compliance Examiner to support broker/dealer oversight. You will perform annual examinations, analyze reports, and interact with branch management across the United States.

The role emphasizes adherence to FINRA rules, accuracy in reporting, and clear communication with advisory teams. Remote work is offered with extensive travel, and a discretionary bonus opportunity, along with a comprehensive benefits program.

Qualifications

• 3+ years Financial Services industry experience - Compliance or Branch Exams experience preferred.
• Detailed knowledge of retail brokerage, investment advisory products including mutual funds, VAs, stocks, bonds.
• 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.
• Proficiency in MS Office (Word, PowerPoint, Excel, OneDrive).
• Proficiency in Smarsh and RegEd preferred.
• High school diploma required; college degree strongly preferred.
• Must be extremely detail-oriented and able to work independently.
• Must travel domestically to visit branch offices.

Responsibilities

• Conduct approximately 75-125 comprehensive examinations per year.
• Travel independently up to 50% of the time.
• Schedule and discuss exam expectations with branch management.
• Prepare by generating and analyzing reports and conducting pre-examination research.
• Review exam findings with branch management.
• Draft and issue examination reports in a timely manner.
• Educate OSJ Managers, Financial Advisors and staff on rules and policies.
• Interpret FINRA and related publications on broker/dealer regulation.
• Assist in training of new examiners and field management.
• Present findings to management as needed.
• Submit expense reports promptly.
• Archive documentation after examinations.

Skills

Financial services

Exams experience

FINRA 7

FINRA 24 preferred

Comm skills

MS Office

Smarsh/RegEd

Detail oriented

Travel ready

Education

High school diploma

College degree preferred

Tools

MS Office

Smarsh

RegEd

OneDrive

Job description

Corebridge Financial is seeking an experienced Compliance Examiner to support broker/dealer oversight. You will perform annual examinations, analyze reports, and interact with branch management across the United States.

The role emphasizes adherence to FINRA rules, accuracy in reporting, and clear communication with advisory teams. Remote work is offered with extensive travel, and a discretionary bonus opportunity, along with a comprehensive benefits program.