Key skills
Leadership
About this role
Role Overview
- Serve as a primary examiner for onsite branch inspections, including travel to registered locations in accordance with the firm’s inspection program.
- Execute assigned branch inspection and compliance review activities using established methodologies and professional judgment.
- Perform detailed documentation of inspection work, testing procedures, and results within designated systems and supporting work papers.
- Exercise independent judgment to identify potential risk areas during inspections and determine when additional inquiry or expanded testing is warranted.
- Clearly communicate inspection results, findings, and recommendations to Supervision, compliance leadership, and other relevant stakeholders.
- Track, report, and follow up on inspection findings in a timely manner to ensure appropriate resolution.
- Identify, monitor, and escalate emerging risks or adverse trends identified through inspection activity.
- Provide compliance guidance and support to business partners, as needed.
- Support and lead various ad hoc compliance-related projects.
Requirements
- Bachelor's Degree or equivalent experience
- Minimum 1 year of experience in compliance, regulatory analysis, or related financial services roles
- Proven ability to collaborate across teams and manage multiple priorities in a regulated environment
- Basic knowledge of securities industry concepts, compliance practices, supervisory frameworks, applicable federal and state regulatory requirements, investment products, and financial markets
- Documenting findings and communicating risks through clear, concise reports.
- Applying sound judgment in evaluating complex compliance scenarios.
- Proactively identifying risk trends
- Clearly conveying compliance requirements and findings to diverse audiences.
- Managing difficult conversations maturely.
- Building strong relationships across departments to support compliance initiatives.
- Identifying program improvement opportunities and designing effective solutions to address compliance challenges.
- Staying current with regulatory changes and industry best practices.
- Series 7 and 24 preferred or the ability to obtain them within six months of hire.
Benefits
- Please click here for a list of benefits for which this position is eligible.