Branch Office Examiner - Broker/Dealer

Broker - Dealer, FINRA Member Investment Bank . U.S. Based Financial Services Company. Specialties and products include: Investments, Retirement Planning and Capital Markets. Offices in other major U.S. Cities certain of which are where this Examiner position may also be based. Job Description Review of branch office records, completed questionnaires and branch operating procedures to ascertain compliance with Firm policies and procedures, Federal, Self Regulatory Organization (SRO) Rules and Regulations. Follow a set of modules assigned and formulated for the Branch Examination Program. Conduct one-on-one meetings/interviews with branch office management, Registered Representative and other personnel. Conduct Annual Compliance Meetings in Branch Offices. Qualifications At least two (2) or more years of Branch Examination, Broker-Dealer compliance or regulatory work experience. Effective communication skills and attention to detail desired. Series 7 FINRA Registration, preferred. Bachelor’s Degree, preferred. Additional Information This is a full-time permanent position. The position will offer benefits available to all Company employees. Travel within the United States may be approximately 60% annually with 100% company expense coverage reimbursement. Competitive salary and benefits package. Annual cash bonus potential and career mobility offered. #J-18808-Ljbffr Rosenthal Recruiting