Compliance Examiner (Broker Dealer)

TL;DR

Compliance Examiner (Broker Dealer): Conducting comprehensive regulatory examinations of branch offices and registered representatives with an accent on FINRA, SEC, and state compliance standards. Focus on identifying operational weaknesses, documenting deficiencies, and ensuring adherence to financial regulations through extensive on-site and remote audits.

Location: Remote (Must reside within one hour of a major airport in the US)

Salary: $89,800 – $125,500

Company

A publicly traded financial services company dedicated to helping educators protect their assets and prepare for a successful financial future.

What you will do

• Plan and conduct 70–90 annual examinations of Broker/Dealer and RIA branch offices.
• Review client files, trade blotters, advertising materials, and financial records for regulatory adherence.
• Interview branch managers and staff to evaluate supervisory effectiveness and compliance risks.
• Document deficiencies and prepare detailed reports with recommendations for corrective action.
• Collaborate with the Chief Compliance Officer to analyze trends and develop proactive solutions.
• Follow up with branches to verify the timely remediation of identified issues.

Requirements

• Must reside within one hour of a major airport to facilitate 80-90% travel.
• Bachelor’s degree in Finance, Accounting, Business, or equivalent experience.
• 3–5 years of experience as a compliance examiner or auditor in the financial services industry.
• Active FINRA Series 7 and 24 licenses required.
• Strong knowledge of FINRA, SEC, and state securities regulations.
• Proficiency in Microsoft Office and regulatory filing systems like FINRA Gateway.

Culture & Benefits

• Comprehensive insurance and financial products tailored for educators.
• Opportunity to work with a publicly traded company with over $12 billion in assets.
• Supportive environment focused on professional growth and regulatory excellence.
• Competitive compensation package commensurate with experience.