Remote Financial Compliance Examiner | FINRA

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

Job summary

Corebridge Financial is seeking a Compliance professional to conduct broker/dealer examinations and ensure regulatory compliance across the United States. The role involves extensive travel, coordinating with branch management, and producing detailed examination reports.

You will review regulatory requirements, educate managers and staff on policies, and participate in training of new examiners. A strong background in FINRA regulations and financial services is required.

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.
• 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 across the United States in business attire with luggage, briefcase, and company devices.

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 rules, regulations and firm policies during the exam.
• Interpret FINRA and broker/dealer publications regarding regulation.
• Assist in training of new examiners and field management as needed.
• Perform for-cause exams as needed.
• Present to multiple parties including field and upper management.
• Submit expense reports in a timely manner.
• Archive documentation and supporting paperwork post-examinations.

Skills

Financial services experience

Compliance knowledge

Travel readiness

Strong communication

Education

High school diploma

College degree preferred

Tools

MS Office Suite

Smarsh

RegEd

Job description

Corebridge Financial is seeking a Compliance professional to conduct broker/dealer examinations and ensure regulatory compliance across the United States. The role involves extensive travel, coordinating with branch management, and producing detailed examination reports.

You will review regulatory requirements, educate managers and staff on policies, and participate in training of new examiners. A strong background in FINRA regulations and financial services is required.