Remote Financial Compliance Examiner

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

Benefits offered by this job

Health & wellness benefits

401(k) with company match

Volunteer Time Off

Paid time off (PTO)

Job summary

Corebridge Financial is seeking a Compliance Examiner to conduct broker/dealer and advisory examinations, travel up to 50% across the United States, and report findings to management.

The role requires 3+ years in financial services compliance, FINRA Series 7, and strong written communication. A related degree and regulatory knowledge are highly valued. A discretionary bonus and comprehensive benefits are offered.

Qualifications

• 3+ years Financial Services industry experience - Compliance or Branch Exams experience preferred.
• Detailed knowledge of the retail brokerage, investment advisory business and common investment products.
• FINRA Series 7 is required.
• FINRA Series 24 license strongly preferred or must be obtained within 90 days of employment.

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

Written communication

MS Office (Word, PowerPoint, Excel, On

Smars h / RegEd

Detail-oriented

Education

High school diploma

College degree preferred

Tools

MS Office

OneDrive

Smarsh

RegEd

Job description

Corebridge Financial is seeking a Compliance Examiner to conduct broker/dealer and advisory examinations, travel up to 50% across the United States, and report findings to management.

The role requires 3+ years in financial services compliance, FINRA Series 7, and strong written communication. A related degree and regulatory knowledge are highly valued. A discretionary bonus and comprehensive benefits are offered.