Traveling Branch Compliance & Risk Auditor

Steward Partners; United States; Remote; USD 70,000 - 100,000; Full time

Job summary

A leading financial services firm is seeking a Branch Examiner to perform onsite and remote inspections. The ideal candidate has over 2 years of experience in Financial Services, particularly in audit or compliance roles, and holds active FINRA licenses. Responsibilities include conducting branch exams, training personnel, and preparing comprehensive reports. Strong analytical and communication skills are essential. This role offers the opportunity to travel and collaborate across various business units in a dynamic environment.

Qualifications

• 2+ years of experience in Financial Services, preferably within Wealth Management.
• Active FINRA Series 7, 9/10, or Series 24 licenses.
• Ability to manage execution of various tasks with minimal supervision.

Responsibilities

• Conduct 30-50 branch exams per year, onsite or remotely.
• Provide training on firm policies to branch personnel.
• Prepare detailed reports documenting findings and remediation.

Skills

Financial Services experience

Audit or Compliance functions

Strong written and verbal communication skills

Analytical and critical thinking

Proficient in Microsoft Office Suite

Education

Bachelor’s degree or equivalent work experience

Tools

Data analysis tools

Microsoft Excel

Microsoft PowerPoint

Microsoft Word

SharePoint

Job description

A leading financial services firm is seeking a Branch Examiner to perform onsite and remote inspections. The ideal candidate has over 2 years of experience in Financial Services, particularly in audit or compliance roles, and holds active FINRA licenses. Responsibilities include conducting branch exams, training personnel, and preparing comprehensive reports. Strong analytical and communication skills are essential. This role offers the opportunity to travel and collaborate across various business units in a dynamic environment.