Compliance Officer Branch Audit

As a compliance advisor on the Branch Audit team, you'll be traveling to advisor offices nationwide to conduct on-site inspections (both scheduled and unannounced) to help us oversee the securities and advisory business of nearly 1,800 advisors. Your mission will be to ensure that each business is run in a manner that is consistent with both the spirit and the letter of industry rules and regulations, as well as the firm's compliance and supervisory programs, to decrease exposure to regulatory and financial risk.


You will need to be excellent communicators who are analytical and detail-driven. Being on the road and working with minimal supervision, they also must be skilled at managing their time and meeting deadlines.


As a compliance advisor on the Branch Audit team, your responsibilities would include:
Conducting on-site inspections of branch offices nationwide and documenting associated audit findings in a timely manner

• Communicating regularly with advisors, as well as home office employees, regarding firm policies and procedures
• Completing a variety of general compliance projects, such as drafting internal communications; presenting at firm conferences; conducting continuing education teleconferences, data analysis, and internal compliance reviews; and performing other tasks as assigned

• A minimum of 3 years of experience in compliance or the financial services industry
• FINRA Series 7 securities registration required; FINRA Series 24 securities registration required within 3-6 months
• Able to commit to traveling 40 percent-50 percent of the time
• Excellent written and verbal communication skills
• Detail-oriented with strong analytical and organizational skills
• Ability to meet deadlines in a fast-paced environment
• Ability to work under minimal supervision
• Proficient in Microsoft Word and Excel