Compliance Examiner, Broker-Dealer

Bachelor’s degree in Finance, Accounting, Business, or a related field. 3–5 years of experience as a compliance examiner or auditor within the financial services industry, preferably with a broker-dealer. Licenses Required: FINRA Series 7 and 24. Strong knowledge of FINRA, SEC, and state securities regulations. Proven experience conducting on-site audits or branch examinations. Proficiency in Microsoft Office Suite and familiarity with regulatory filing systems (e.g., FINRA Gateway). Exceptional analytical and investigative skills with attention to detail. Excellent written and verbal communication skills, with the ability to present complex findings clearly. Ability to work independently and manage a demanding travel schedule. Strong organizational and time-management abilities.

Plan, schedule, and conduct on-site and remote examinations of Broker/Dealer and RIA branch offices, as well as registered representatives. Review a wide range of books and records, including client files, trade blotters, correspondence, advertising materials, and financial records to ensure adherence to regulatory standards. Conduct interviews with branch managers, registered representatives, and staff to evaluate supervisory effectiveness and identify compliance risks. Identify and document deficiencies, violations, and operational weaknesses clearly and concisely. Prepare detailed examination reports summarizing findings, recommendations for corrective action, and supporting evidence. Follow up with branches to verify timely and effective remediation of identified issues. Collaborate with the Chief Compliance Officer and compliance team to analyze trends and develop proactive compliance solutions. Stay current on regulatory developments and industry best practices. Assist with special projects and regulatory inquiries as needed. Conduct approximately 70–90 branch examinations per year.