Remote Financial Compliance Examiner

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

Benefits offered by this job

Health and Wellness: medical/dental/ve

401(k) with company match

Employee assistance program

Charitable donations match

Volunteer time off

Paid time off

Job summary

Corebridge Financial seeks an experienced Compliance Examiner to conduct broker-dealer examinations and ensure regulatory alignment across U.S. branches. You will travel up to 50% of the year, coordinate with branch management, and produce high-quality examination reports.

The ideal candidate has 3+ years in financial services compliance, FINRA Series 7, strong communication, and proficiency in MS Office. A 24/7 travel-friendly role with discretionary bonus and comprehensive benefits is offered.

Qualifications

• 3+ years in financial services compliance or branch exams.
• 4 Knowledge of retail brokerage, investment advisory products.
• FINRA Series 7 required.
• FINRA Series 24 preferred or must be obtained within 90 days.
• Strong verbal and written communication.
• MS Office proficiency including Word/Excel.
• Smarsh and RegEd preferred.
• High school diploma required; college degree preferred.
• Must be detail oriented and able to work independently.
• Must travel to branch offices across the U.S.

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 pre-examination research.
• Review exam findings with branch management.
• Draft and issue examination reports in a timely manner.
• Educate OSJ Managers and staff on rules, regs and firm policies.
• Interpret FINRA/ broker-dealer regulations.
• Assist in training new examiners and field management.
• Perform for-cause exams as needed.
• Present to management as needed.
• Submit expense reports promptly.
• Archive documents after examinations.

Skills

Financial services experience

Compliance knowledge

Travel readiness

Strong communication

MS Office

Smarsh

RegEd

Education

High school diploma

College degree preferred

Tools

Smarsh

RegEd

Job description

Corebridge Financial seeks an experienced Compliance Examiner to conduct broker-dealer examinations and ensure regulatory alignment across U.S. branches. You will travel up to 50% of the year, coordinate with branch management, and produce high-quality examination reports.

The ideal candidate has 3+ years in financial services compliance, FINRA Series 7, strong communication, and proficiency in MS Office. A 24/7 travel-friendly role with discretionary bonus and comprehensive benefits is offered.