Compliance Analyst - Branch Exams

The Compliance Analyst Examiner will conduct audits of branch offices to determine compliance with FINRA, SEC, and State regulatory requirements, as well as firm policies and procedures.  The Examiner is pivotal to creating a partnership between the audit team and the leadership teams of each broker-dealer, home office and field supervisors, and the financial professionals in the field.  This role reports directly to an Audit Manager. This is a fully remote position, and candidates must be willing to travel for work (see more details below). 

What You Will Do

• Conduct exams of securities brokerage and advisory branch offices (up to 50% domestic travel)
• Investigate potential audit exceptions
• Conduct opening and closing interviews/meetings with branch personnel
• Prepare reports
• Collaborate with the team members and Audit Managers to streamline processes and create efficiencies for the department

What You Must Have

• Series 7, 24, and 66 (or 63 and 65) exams/licenses
• Minimum of 5 years of related experience in auditing/examining, broker-dealer operations and/or securities/advisory compliance
• Ability to work in a self-directed environment working remotely from your primary residence
• Strong written and verbal communication skills 
• PC skills must include familiarity with MS Office, including proficiency in MS Word, Excel, Teams and Outlook.

Our Top Candidates

• Series 63/65 or Series 66 
• Bachelor’s or Associates Degree (Business, Finance, Accounting or Economics preferred)
• Minimum of 5 years of experience in the financial services industry or a related field
• Previous experience with working remotely and traveling frequently for business

Compensation

The base annual salary range for this role is $64,000 to $94,000, plus a competitive performance-based bonus.  Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.