Remote Financial Compliance Examiner

Corebridge Financial; Virginia (MN); On-site; USD 65,000 - 75,000; Full time

Benefits offered by this job

Health benefits

Retirement plan

Employee assistance program

Matching donations

Volunteer time off

Paid time off

Job summary

Corebridge Financial is seeking a Compliance Examiner to support the Legal team across the United States. The role involves conducting examinations, analyzing reports, and presenting findings to branch management. Remote work is available with up to 50% travel required.

The candidate should have 3+ years in financial services compliance or branch exams, with FINRA Series 7 and a readiness to pursue Series 24 if not already held. Strong communication skills are essential.

Qualifications

• 3+ years financial services compliance or branch exams experience preferred.
• Detailed knowledge of retail brokerage, investment advisory products.
• FINRA Series 7 required; Series 24 preferred or to be obtained within 90 days.
• Strong verbal and written communication skills are essential.
• Willingness to travel up to 50% across the United States.

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.
• Review exam findings with branch management.
• Draft and issue high quality examination reports timely.
• Educate OSJ Managers, Financial Advisors and staff on rules and policies.
• Interpret supervisory procedures and FINRA rules related to broker/dealer.
• Assist in training new examiners and field management as needed.
• Present to management and submit expense reports promptly.

Skills

Compliance experience

Communication skills

Detail-oriented

Travel ability

MS Office proficiency

Education

High school diploma

College degree preferred

Tools

Smarsh

RegEd

MS Office

Job description

Corebridge Financial is seeking a Compliance Examiner to support the Legal team across the United States. The role involves conducting examinations, analyzing reports, and presenting findings to branch management. Remote work is available with up to 50% travel required.

The candidate should have 3+ years in financial services compliance or branch exams, with FINRA Series 7 and a readiness to pursue Series 24 if not already held. Strong communication skills are essential.