Remote Financial Compliance Examiner

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

Benefits offered by this job

Health and Wellness

401(k) Match

Employee Assistance Program

Volunteer Time Off

PTO

Job summary

Corebridge Financial is seeking a Compliance Examiner to conduct broker/dealer examinations across the United States. Travel up to 50% is required, and you will prepare detailed reports, educate staff on rules, and support branch management with findings.

The role emphasizes risk-based reviews, regulatory interpretation, and collaborating with OSJ managers and financial advisors. A FINRA background and strong communication skills are essential.

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.
• 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.

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

Retail brokerage knowledge

FINRA Series 7

FINRA Series 24 preferred

Verbal and written communication

MS Office (Word/PowerPoint/Excel/OneD

Smarsh/RegEd preferred

Detail-oriented and independent

Education

High school diploma; college degree preferred

Tools

MS Office Suite

Smarsh

RegEd

Job description

Corebridge Financial is seeking a Compliance Examiner to conduct broker/dealer examinations across the United States. Travel up to 50% is required, and you will prepare detailed reports, educate staff on rules, and support branch management with findings.

The role emphasizes risk-based reviews, regulatory interpretation, and collaborating with OSJ managers and financial advisors. A FINRA background and strong communication skills are essential.