Senior Compliance Examiner – Remote Branch Audits (FINRA)

Thecentermemphis; Northern (KY); Hybrid; USD 75,000 - 95,000; Full time

Job summary

The Center Memphis seeks an experienced examiner to conduct onsite branch examinations of retail brokerage offices across the United States. The role includes reviewing supervisory systems, branch locations, files, and interviewing staff to ensure compliance with firm policies and federal/state regulations.

You will document findings, communicate results to management, escalate risks when needed, and mentor junior team members.

Qualifications

• Bachelor's degree (B.A./B.S.) and a minimum of three years of licensed examination experience.
• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Responsibilities

• Execute the risk-based branch exam program across FINRA-registered and non-registered branches.
• Document testing in branch exam system and create related work papers.
• Ensure sample methodologies are applied with adequate reflection of activity.
• Communicate exam findings clearly to branch management and compliance leadership.
• Provide reporting of exam findings and complete follow-ups promptly.
• Identify emerging risks and escalate as needed.
• Mentor less-experienced peers and provide guidance.

Skills

Documentation

Communication

Risk assessment

Relationship building

Problem solving

Excel

Word

Education

Bachelor's degree

Tools

Microsoft Word

Microsoft Excel

Job description

The Center Memphis seeks an experienced examiner to conduct onsite branch examinations of retail brokerage offices across the United States. The role includes reviewing supervisory systems, branch locations, files, and interviewing staff to ensure compliance with firm policies and federal/state regulations.

You will document findings, communicate results to management, escalate risks when needed, and mentor junior team members.