Branch Office Examiner
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Location
Remote
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Sector:
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Job type:
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Salary:
$100,000 to $110,000
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Contact:
Nicole Izurieta
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Contact email:
n.izurieta@hamlynwilliams.com
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Salary high:
0
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Salary low:
0
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Job ref:
Branch Office Examiner
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Published:
2 months ago
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Expiry date:
2022-04-16
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Startdate:
ASAP
We’ve partnered with an exciting broker dealer looking to add a Branch Office Examiner to their growing team. This is a fully remote role with a 50% travel requirement.
What you’ll be doing:
- Responsible for travel planning to conduct onsite examinations and interviews
- Review compliance requirements, policies, and procedures with on-site personnel
- Follow up to ensure that problem areas are corrected by the branches with deficiencies
- Escalate concerns using the firm’s standards as necessary
Minimum Qualifications:
- Bachelor’s degree or relevant work experience
- 2+ years of experience in financial services, securities, regulatory, or legal compliance
- Ability to travel 50% of the time
- FINRA series 7
- Must obtain 24 within the first 120 days of employment
For more information please contact Nicole Izurieta at Hamlyn Williams at n.izurieta@hamlynwilliams.com
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