Remote FINRA Branch Office Examiner

Corebridge Financial; Maryland; 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 a Compliance Examiner to join our Legal team. You will conduct examinations of broker/dealer activities, travel up to 50%, and collaborate with branch management to set expectations. Prepare comprehensive reports, and educate OSJ Managers and staff on rules and firm policies.

You will interpret FINRA guidance and pre-examination materials, train new examiners, and perform for-cause exams as needed. Competitive base salary with bonus and strong benefits.

Qualifications

• 3+ years in financial services compliance or branch exams.
• Detailed knowledge of the retail brokerage and investment advisory businesses.
• FINRA Series 7 required; Series 24 preferred or must be obtained within 90 days.
• Strong verbal and written communications skills.
• Proficiency in MS Office; Smarsh and RegEd preferred.
• Must be extremely detail-oriented and 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 by generating and analyzing reports and doing pre-examination research.
• Review exam findings with branch management and draft timely reports.
• Educate OSJ Managers and staff on industry rules, regulations and firm policies.
• Interpret FINRA rules, Written Supervisory Procedures, and Compliance notices.

Skills

Financial compliance

Broker/Dealer examinations

Written communication

Verbal communication

Analytical reasoning

Travel readiness

Education

High School Diploma

Bachelor’s degree preferred

Tools

MS Office

Smarsh

RegEd

Job description

Corebridge Financial is seeking a Compliance Examiner to join our Legal team. You will conduct examinations of broker/dealer activities, travel up to 50%, and collaborate with branch management to set expectations. Prepare comprehensive reports, and educate OSJ Managers and staff on rules and firm policies.

You will interpret FINRA guidance and pre-examination materials, train new examiners, and perform for-cause exams as needed. Competitive base salary with bonus and strong benefits.