Compliance Officer Branch Examinations

A financial services organization is seeking a Compliance Officer to oversee branch examination activities and evaluate adherence to securities regulations, supervisory standards, and internal policies. This position involves conducting risk-based reviews of financial advisor offices, assessing supervisory controls, identifying compliance deficiencies, and recommending corrective actions. The ideal candidate has experience in broker-dealer compliance, branch inspections, or securities supervision and can independently manage examinations while building strong relationships with business stakeholders.
RESPONSIBILITIES

Branch Examinations & Compliance Reviews Plan and conduct regulatory compliance examinations of broker-dealer and investment advisory locations, including supervisory offices, remote locations, and other affiliated business sites.
Review financial advisor activities, supervisory procedures, client documentation, and operational practices for compliance with FINRA, SEC, state securities regulations, and internal policies.
Assess the effectiveness of supervisory controls and identify potential regulatory, operational, and conduct risks.
Apply risk-based examination techniques using business data, regulatory developments, and historical findings.
Maintain thorough examination records and supporting documentation.
Risk Assessment & Remediation Identify compliance violations, supervisory weaknesses, and areas requiring further investigation.
Prepare detailed examination reports summarizing findings, regulatory concerns, and recommended corrective actions.
Coordinate with compliance leadership and business partners to resolve deficiencies and track remediation efforts.
Evaluate corrective actions to confirm identified issues and underlying causes have been addressed.
Escalate significant regulatory concerns, customer complaints, potential misconduct, and supervisory failures.
Analyze examination trends to identify recurring issues and opportunities to improve compliance controls.
Regulatory Guidance & Training Provide guidance to financial advisors, branch supervisors, and support personnel on securities regulations and supervisory expectations.
Assist with compliance training, educational materials, and communications designed to reinforce regulatory standards.
Support regulatory examinations, internal audits, and information requests.
Recommend improvements to examination procedures, reporting tools, and supervisory practices.
Participate in compliance initiatives, risk assessments, and special projects.
QUALIFICATIONS

Bachelor's degree in a relevant discipline preferred;equivalent industry experience may be considered.
Approximately 3+ years of experience in securities compliance, branch examinations, supervision, internal audit, operations, or financial services risk management preferred.
FINRA Series 7 and Series 24 licenses required, or ability to obtain both within an established timeframe.
Knowledge of FINRA, SEC, and state regulatory requirements governing broker-dealers and registered investment advisers.
Strong understanding of supervisory controls, compliance examinations, and regulatory documentation.
Excellent analytical, investigative, interviewing, and problem-solving abilities.
Strong written communication skills, including preparation of clear, well-supported examination reports.
Ability to independently manage multiple examinations, priorities, and deadlines.
Effective interpersonal and presentation skills, with the ability to communicate findings and influence corrective actions.
Collaborative approach to working with financial advisors, management, and compliance teams.
PREFERRED EXPERIENCE

Additional securities registrations, including Series 51, 63, or 65.
Insurance licensing, such as Group I, or willingness to pursue additional professional credentials.
Direct experience conducting broker-dealer or investment advisory branch examinations.
Familiarity with Office of Supervisory Jurisdiction (OSJ) requirements and financial advisor supervisory practices.
Experience investigating regulatory deficiencies, monitoring remediation, or developing compliance training.
Background supporting regulatory examinations or internal supervisory reviews.

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