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Job

Branch Office Examiner

  • Location

    Remote

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $100,000 to $110,000

  • Contact:

    Nicole Izurieta

  • Contact email:

    n.izurieta@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Job ref:

    Branch Office Examiner

  • Published:

    2 months ago

  • Expiry date:

    2022-04-16

  • 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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