Remote Financial Compliance Examiner

Corebridge Financial; Wyoming (OH); On-site; USD 65,000 - 75,000; Full time

Benefits offered by this job

Health and Wellness coverage

401(k) with company match

Employee Assistance Program

Matching charitable donations

Volunteer Time Off

Paid Time Off

Job summary

Corebridge Financial is seeking a compliance professional to conduct broker-dealer examinations across the United States. The role requires deep knowledge of retail brokerage and investment products, with travel up to 50% and the ability to work remotely.

The candidate will prepare examination reports, educate staff on regulations, and interpret FINRA guidelines. The role emphasizes accuracy, independence, and strong communication skills, with a base salary in the $65k-$75k range and a

Qualifications

• 3+ years Financial Services industry experience, preferably in Compliance or Branch Exams.
• Detailed knowledge of retail brokerage, investment advisory products (mutual funds, annuities, stocks, bonds).
• FINRA Series 7 is required.
• FINRA Series 24 strongly preferred or must be obtained within 90 days of employment.

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 exams by generating and analyzing reports and pre-examination research.
• Draft and issue high quality examination reports in a timely manner.
• Educate OSJ Managers, Financial Advisors and staff on industry rules and firm policies.
• Interpret FINRA and other publications concerning broker/dealer regulation.
• Assist in training new examiners and field management as needed.

Skills

Financial Services

Compliance

Branch Exams

FINRA Series 7

Communication

MS Office

Smarsh

RegEd

Travel Flexibility

Education

High school diploma

College degree preferred

Tools

MS Office

Smarsh

RegEd

Job description

Corebridge Financial is seeking a compliance professional to conduct broker-dealer examinations across the United States. The role requires deep knowledge of retail brokerage and investment products, with travel up to 50% and the ability to work remotely.

The candidate will prepare examination reports, educate staff on regulations, and interpret FINRA guidelines. The role emphasizes accuracy, independence, and strong communication skills, with a base salary in the $65k-$75k range and a