Remote Financial Compliance Examiner

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

Benefits offered by this job

Health and Wellness

Retirement Savings (401(k) match)

Employee Assistance Program

Matching charitable donations

Volunteer Time Off

Paid Time Off

Job summary

Corebridge Financial is seeking an experienced Compliance Examiner to conduct 75–125 examinations annually, with travel up to 50% to visit branches nationwide. You will prepare reports, review findings with branch management, and educate staff on FINRA rules and firm policies.

Ideal candidates will have 3+ years in Financial Services compliance or branch exams, FINRA Series 7, and strong communication skills; Series 24 preferred. Remote work option noted with benefits package.

Qualifications

• 3+ years Financial Services industry experience; compliance or branch exams preferred.
• Knowledge of retail brokerage, investment advisory products (funds, annuities, stocks, bonds).
• FINRA Series 7 required.
• FINRA Series 24 preferred or must be obtained within 90 days of employment (two testing opportunities).
• Strong verbal and written communication skills.
• Proficiency in MS Office (Word, PowerPoint, Excel, OneDrive).
• Detail-oriented, investigative, able to work independently.

Responsibilities

• Conduct approximately 75-125 comprehensive examinations per year.
• Travel independently up to 50% of the time.
• Prepare for each exam with reports and pre-examination research.
• Review exam findings with branch management and draft high-quality reports.
• Educate OSJ Managers and staff on rules and firm policies.
• Interpret regulatory documents and firm publications on broker/dealer regulation.
• Assist in training new examiners and field management.

Skills

Financial services experience

Detail oriented

Travel willingness

Verbal and written communications

MS Office proficiency

RegEd experience

Education

High school diploma

College degree preferred

FINRA Series 7

Tools

MS Office

Smarsh

RegEd

Job description

Corebridge Financial is seeking an experienced Compliance Examiner to conduct 75–125 examinations annually, with travel up to 50% to visit branches nationwide. You will prepare reports, review findings with branch management, and educate staff on FINRA rules and firm policies.

Ideal candidates will have 3+ years in Financial Services compliance or branch exams, FINRA Series 7, and strong communication skills; Series 24 preferred. Remote work option noted with benefits package.