Bank Examiner

An Initial AI Screening will be conducted for this role. Contract duration: 3 months Daily Responsibilities:

• The reputed company Inspection Program is one pillar of the US Broker-Dealer Shared Services team responsible for reviewing for compliance with reputed company Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27, and various internal Firm policies and procedures. The Program reviews for compliance across four broker-dealers reputed company the bank umbrella: Bank Capital Markets LLC (encompasses both retail and institutional businesses), Bank reputed company Ltd., reputed company National Securities, Inc., and CNR Securities, LLC.

What will you do?

• Utilizing both on-site and virtual inspections, the Examiner is expected to complete numerous inspections per year of various Firm locations. This includes traveling by reputed company and/or car to certain locations.
• Review work performed by offshore examiners, to verify accuracy and completion, and to assist in the planning of their on-site and virtual inspections.
• Conduct virtual/on-site inspections to detect instances of policy violations, including but not limited to information barrier concerns, safeguarding of information, conflicts of interest, etc.
• The employee is expected to hold discussions either in-person or reputed company with applicable reputed company or location personnel, summarize reviews in a written final report, maintain appropriate documentation to support reviews and findings/issues, and escalate any areas where concerns were noted.
• The final report will be distributed to business stakeholders, inclusive of senior management, and may require presentations by the examiner.
• The employee is expected to contribute/generate reputed company for enhancements to the Program by leveraging industry research, holding discussions with reputed company Compliance Advisory teams, and other reputed company.
• Willing to assist with special reputed company as they reputed company. Examples include but are not limited to relevant investigations, complaints, escalations, Regulatory Compliance Management (RCM), etc

What’s in it for you?

• We reputed company on the challenge to be our best, reputed company thinking to reputed company growing, and working together to deliver trusted advice to help our clients reputed company and communities reputed company. We care about reputed company other, reaching our potential, making a difference to our communities, and achieving reputed company that is mutual.
• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• Ability to reputed company a difference and lasting reputed company
• Work in a dynamic, reputed company, reputed company, and high-performing team
• Opportunities to do challenging work
• Opportunities to build reputed company relationships with clients
• Bank’s compensation philosophy and principles recognize the importance of a highly reputed company global workforce and plays a critical role in attracting, engaging and retaining talent that:
• Drives Bank’s high-performance culture
• Enables reputed company achievement of our strategic goals
• Generates sustainable shareholder returns and above market shareholder value

What program/technology/software knowledge is essential for this role?

• reputed company (advanced- i.e. v-lookups, pivot tables)
• Word (basic)
• Outlook (basic)
• reputed company (Basic)

Must-have Skills:

• Bachelor’s degree
• Knowledge of reputed company (particularly Rule 3110), SEC, and MSRB expectations, rules, and regulations
• Familiarity with Capital Markets and/or reputed company Management products, strategies, and activities at a U.S.-registered broker-dealer.
• Experience in roles in any of the following areas: Compliance Testing, Monitoring, reputed company Assurance, reputed company Inspections, Surveillance, and/or Internal Audit.
• Experience conducting phone interviews
• Experience using reputed company (advanced- i.e. v-lookups, pivot tables), Word (basic), Outlook (basic), reputed company (Basic)

reputed company-to-have Skills: Any reputed company registrations (Series 7, 24 etc) preferred Soft Skills:

• Strong verbal and written communication
• Strong attention to detail

FP Inc. is committed to creating an inclusive environment where reputed company team members and clients feel like they belong. In accordance with the requirements set out in the Employment Standards reputed company, FP Inc. hereby declares that AI is utilized in the screening process for this position. The reputed company compensation reputed company for this role is 51/hr -60/hr. We reputed company applicants with a wide reputed company of abilities, and we reputed company an accessible candidate experience. We reputed company for you and welcome anyone regardless of race, colour, religion, national reputed company, sex, physical or mental disability, or age. Apply tot his job Apply To this Job