About this role
Role Overview
- Conduct approximately 75-125 comprehensive examinations per year.
- Travel independently up to 50% of the time.
- Schedule and discuss exam expectations with the branch management.
- Prepare for each exam by generating and analyzing various reports and conducting comprehensive pre-examination research.
- Review exam findings with branch management.
- Draft and issue high quality examination reports in a timely manner.
- Educate OSJ Managers, Financial Advisors and support staff on various industry rules, regulations and firm policies during the exam.
- Interpret the Written Supervisory Procedures, FINRA manual, Compliance notices and other publications concerning broker/dealer regulation.
- Assist in the training of new examiners and field management as needed.
- Perform for-cause exams as needed.
- Present to multiple parties, including field management and upper management as needed.
- Submit expense reports in a timely manner.
- Archive documentation and supporting paperwork upon conclusion of examinations.
Requirements
- 3+ years Financial Services industry experience
- Compliance or Branch Exams experience preferred.
- Detailed knowledge of the retail brokerage business, investment advisory business, and common investment products
- including mutual funds, variable annuities, stocks, and bonds.
- FINRA Series 7 is required.
- FINRA Series 24 license is strongly preferred or must be obtained within 90 days of employment. Two testing opportunities will be allowed.
- Strong verbal and written communications skills required.
- Proficiency in MS Office, including Word, PowerPoint, Excel and OneDrive.
- Proficiency in Smarsh and RegEd preferred.
- High school diploma required; college degree strongly preferred.
- Must be extremely detail-oriented, investigative and can work independently.
- Must be able to deliver negative results in a professional manner.
Benefits
- Health and Wellness: We offer a range of medical, dental and vision insurance plans, as well as mental health support and wellness initiatives to promote overall well-being.
- Retirement Savings: We offer retirement benefits options, which vary by location. In the U.S., our competitive 401(k) Plan offers a generous dollar-for-dollar Company matching contribution of up to 6% of eligible pay and a Company contribution equal to 3% of eligible pay (subject to annual IRS limits and Plan terms). These Company contributions vest immediately.
- Employee Assistance Program: Confidential counseling services and resources are available to all employees.
- Matching charitable donations: Corebridge matches donations to tax-exempt organizations 1:1, up to $5,000.
- Volunteer Time Off: Employees may use up to 16 volunteer hours annually to support activities that enhance and serve communities where employees live and work.
- Paid Time Off: Eligible employees start off with at least 24 Paid Time Off (PTO) days so they can take time off for themselves and their families when they need it.