Branch Office Examiner, Compliance

About the role

The Branch Office Examiner, Compliance will conduct comprehensive examinations of branch offices, ensuring adherence to FINRA rules, firm policies, and local regulations. This position involves significant travel and direct interaction with branch management and staff.

Key responsibilities

• Perform 75‑125 full‑scope examinations per year, traveling independently up to 50% of the time.
• Schedule exams, set expectations with branch management, and prepare by generating and analyzing reports.
• Review findings with branch leadership, draft high‑quality examination reports, and issue them promptly.
• Educate OSJ managers, financial advisors, and support staff on industry rules, regulations, and firm policies.
• Interpret Written Supervisory Procedures, FINRA manuals, compliance notices, and related publications.
• Assist in training new examiners and field management, and conduct for‑cause exams as needed.
• Present findings to field and upper management, submit expense reports, and archive documentation after each examination.

Required profile

• Minimum 3 years of experience in the financial services industry, preferably in compliance or examination functions.
• Familiarity with broker‑dealer regulations and the ability to interpret supervisory procedures.
• Strong analytical and report‑writing skills.

Required skills

• Smarsh
• RegEd
• FINRA Series 7
• FINRA Series 24

What we offer

• Opportunity to work within a global financial services firm committed to innovation and compliance excellence.
• Collaborative environment with professional development and training support.