Perform pre-exam testing by analyzing risk assessments, establishing sample selection criteria, testing selected samples per departmental procedures and reviewing relevant documentation.
Conduct onsite branch inspections, review electronic and physical reports and documents, and interview financial advisors, support staff and branch management.
Leverage your expertise and judgment to evaluate testing results and assess the adequacy and effectiveness of the branches control environment.
Hold meetings with branch management to discuss preliminary findings, identify root causes of noted issues, and obtain formal responses to exam results.
Collaborate with local management and key personnel to address identified business risks and policy violations and develop comprehensive corrective action plans to facilitate the timely remediation of identified issues.
Collaborate with branch examination management to assess whether a branch office complies with regulatory requirements and Firm policies and procedures.
Oversee multiple examinations and projects concurrently.
Maintain up-to-date knowledge of industry and regulatory changes.

Knowledge of the Financial Services Industry
Prior examination or testing experience a plus
Team-oriented with the ability to interact with diverse remote teams, branch staff and management
Strong communication, detail oriented, analytical, critical thinking and organizational skills
Objectivity with the skill to make independent decisions associated with Compliance testing procedures
Enthusiastic, disciplined and self-motivated
Ethical standards, sound judgment and integrity
Domestic travel approximately 30 to 40% required
3+ years Financial Services Industry Experience
FINRA licenses a plus

Medical
Prescription Drug
Dental
Vision
Health Savings Account
Dependent Day Care Savings Account
Life Insurance
Disability and Other Insurance Plans
Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and 20 Vacation Days annually)
10 Paid Holidays
401(k)
Short/Long Term Disability

Branch Examiner, WM Compliance

Key skills