Senior Field Compliance Examiner

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

Benefits offered by this job

Health and Wellness

Retirement Savings (401(k) matching)

Employee Assistance Program

Matching charitable donations

Volunteer Time Off

Paid Time Off

Job summary

Corebridge Financial seeks a Compliance Examiner to conduct annual examinations of branch offices and associated activities. You will travel up to 50% of the year, prepare detailed reports, and communicate findings to branch management and OSJ leaders.

The role requires 3+ years in financial services compliance or branch exams, FINRA 7, and strong written and verbal skills. A high school diploma is required, with a college degree preferred.

Qualifications

• 3+ years Financial Services industry experience - Compliance or Branch Exams experience preferred.
• Detailed knowledge of the retail brokerage business, investment advisory products, including mutual funds, variable annuities, stocks and bonds.
• FINRA Series 7 is required.
• FINRA Series 24 license strongly preferred or must be obtained within 90 days of employment (two testing opportunities 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.
• Ability to travel to branch offices across the United States; professional attire; laptop and cell phone provided.

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 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 rules, regulations and firm policies.
• Interpret FINRA and related regulatory publications concerning broker/dealer regulation.
• Assist in training of new examiners and field management.
• Perform for-cause exams as needed.
• Present to field and upper management as needed.
• Submit expense reports timely.
• Archive documentation post-examination.

Skills

Financial services experience

Brokerage/Investment knowledge

Communication skills

Detail-oriented

Travel readiness

Independent work

Education

High school diploma

College degree preferred

Tools

MS Office (Word, PowerPoint, Excel, OneDrive)

Smarsh

RegEd

Job description

Corebridge Financial seeks a Compliance Examiner to conduct annual examinations of branch offices and associated activities. You will travel up to 50% of the year, prepare detailed reports, and communicate findings to branch management and OSJ leaders.

The role requires 3+ years in financial services compliance or branch exams, FINRA 7, and strong written and verbal skills. A high school diploma is required, with a college degree preferred.