Traveling FINRA Compliance Examiner

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

Benefits offered by this job

401(k) with match

PTO 24 days

Health/dental/vision insurance

Employee assistance program

Volunteer time off

Job summary

Corebridge Financial is seeking a compliance professional to conduct broker/dealer examinations across the United States. You will generate reports, educate branch managers, and review FINRA-related procedures while traveling up to 50% of the year.

The role requires 3+ years in financial services compliance, FINRA Series 7, and strong communication skills. A discretionary bonus and a comprehensive benefits package are offered, with remote work options.

Qualifications

• 3+ years in Financial Services compliance or branch exams.
• Deep knowledge of retail brokerage, investment advisory products.
• FINRA Series 7 required; Series 24 preferred or to be obtained within 90 days.

Responsibilities

• Conduct 75–125 comprehensive examinations per year.
• Travel up to 50% of the time across the US.
• Prepare and discuss exam expectations with branch management.
• Draft timely, high‑quality examination reports.
• Educate OSJ Managers and Financial Advisors on rules and policies.
• Interpret FINRA, Written Supervisory Procedures, and related publications.
• Assist in training new examiners and field management.
• Submit expense reports promptly and archive documents.

Skills

Financial services compliance

Regulatory knowledge

FINRA Series 7

FINRA Series 24 preferred

MS Office

Attention to detail

Travel readiness

Excellent communication

Education

High school diploma

College degree preferred

Tools

Smarsh

RegEd

Job description

Corebridge Financial is seeking a compliance professional to conduct broker/dealer examinations across the United States. You will generate reports, educate branch managers, and review FINRA-related procedures while traveling up to 50% of the year.

The role requires 3+ years in financial services compliance, FINRA Series 7, and strong communication skills. A discretionary bonus and a comprehensive benefits package are offered, with remote work options.