Remote Financial Services Compliance Examiner

Corebridge Financial; Enid (OK); On-site; USD 65,000 - 75,000; Full time

Benefits offered by this job

Health and Wellness

Retirement Savings

Employee Assistance Program

Matching charitable donations

Volunteer Time Off

Paid Time Off

Job summary

Corebridge Financial is seeking a Compliance Examiner to join our Legal team in a role focused on broker/dealer examinations across the United States. You will conduct 75–125 comprehensive examinations annually, travel up to 50%, and prepare reports that accurately reflect findings.

The ideal candidate has 3+ years in financial services compliance, holds FINRA Series 7 (and ideally Series 24), and can train, communicate clearly, and work independently.

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; Series 24 license strongly preferred or must be obtained within 90 days of employment.
• Strong verbal and written communications skills required; proficiency in MS Office; Smarsh and RegEd preferred.
• Must be able to travel across the United States in business attire with ability to move between branch offices.

Responsibilities

• Conduct approximately 75-125 comprehensive examinations per year.
• Travel independently up to 50% of the time.
• Prepare for each exam by generating and analyzing reports and conducting 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 staff on industry rules and firm policies.
• Interpret FINRA and compliance publications concerning broker/dealer regulation.
• Assist in the training of new examiners and field management as needed.
• Present to management as needed.
• Archive documentation and supporting paperwork upon conclusion of examinations.

Skills

Financial services experience

Strong communication

Travel readiness

Detail-oriented

Independent worker

Education

High school diploma

College degree preferred

Tools

FINRA Series 7

FINRA Series 24 preferred

MS Office

Smarsh

RegEd

Job description

Corebridge Financial is seeking a Compliance Examiner to join our Legal team in a role focused on broker/dealer examinations across the United States. You will conduct 75–125 comprehensive examinations annually, travel up to 50%, and prepare reports that accurately reflect findings.

The ideal candidate has 3+ years in financial services compliance, holds FINRA Series 7 (and ideally Series 24), and can train, communicate clearly, and work independently.