Compliance Examiner (Non-Travel)

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Compliance Examiner Opportunity in Financial Services

Branch Office Examiner (Non-Travel)
 

Location:               Phoenix, Arizona

                                Oakdale, Minnesota

Summary:

The Branch Office Examiner will be responsible for administering Branch Exams to our Financial Advisors. This candidate will report to our Corporate Headquarters in Phoenix, Arizona or our Oakdale, Minnesota location.

Remote workers are not being considered at this time.

Keys:      broker dealer compliance, Series 24, Series 9, Series 10, Series 7, Compliance, Examiner    

Responsibilities:

  • Conduct approximately 100-120 exams per year.
  • Review Advisor email, OBAs, and Advertising for Compliance
  • Prepare for each exam by generating and analyzing various reports.
  • Send exam reports to Supervision and Compliance Departments in a timely manner.
  • No travel is required for this position but may be optional in the future if desired.
  • All other duties as assigned

Education Requirements:

  • Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required. 

Basic Requirements:

  • 3+ years’ experience in Financial Services.
  • FINRA series 7, 24 and 63 licenses are required.
  • Knowledge of the retail brokerage business, fee based advisory business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.
  • Experience with Independent Broker-Dealers a plus.
  • Strong verbal and written communications skills required.
  • Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation.
  • Proficiency in MS Office.
  • Knowledge of Vision2020, Salesforce, RegEd, Sunguard, NetX360, a plus.
  • Must be detail-oriented, investigative and have the ability to work independently.