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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