Remote Financial Compliance Examiner

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

Benefits offered by this job

Health and Wellness benefits

401(k) with company matching

Employee Assistance Program

Donation matching program

Volunteer Time Off

Paid Time Off

Job summary

Corebridge Financial is seeking a Compliance Examiner to conduct broker-dealer examinations and advise on regulatory matters. You will travel up to 50% of the year, prepare detailed reports and educate field staff on industry rules.

The role requires FINRA Series 7 (and 24 preferred), strong communication skills, and a high school diploma with a preference for a college degree. Work location is remote and eligible for competitive benefits.

Qualifications

• 3+ years Financial Services industry experience - Compliance or Branch Exams preferred.
• Detailed knowledge of the retail brokerage, investment advisory businesses and products (mutual funds, variable annuities, 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 be able to travel to branch offices nationwide in professional attire.

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 for each exam by generating and analyzing reports and conducting pre-examination research.
• Review exam findings with branch management.
• Draft and issue high quality examination reports on time.
• Educate OSJ Managers, Financial Advisors and staff on industry rules, regulations and firm policies.
• Interpret the Written Supervisory Procedures, FINRA manual and other publications concerning broker/dealer regulation.
• Assist in training of new examiners and field management as needed.
• Perform for-cause exams as needed.
• Present to management as needed.
• Submit expense reports promptly.
• Archive documentation after examinations.

Skills

FINRA Series 7

FINRA Series 24 license (preferred)

MS Office (Word, PowerPoint, Excel, On

Smarsh

RegEd

Strong verbal & written communication

Detail-oriented

Independent work

Education

High school diploma

College degree preferred

Tools

Smarsh

RegEd

Job description

Corebridge Financial is seeking a Compliance Examiner to conduct broker-dealer examinations and advise on regulatory matters. You will travel up to 50% of the year, prepare detailed reports and educate field staff on industry rules.

The role requires FINRA Series 7 (and 24 preferred), strong communication skills, and a high school diploma with a preference for a college degree. Work location is remote and eligible for competitive benefits.