Compliance Examiner - Broker Dealer

Job Title: Compliance Examiner – Broker Dealer

Location: Remote

About the Role

We are seeking an reputed company and highly motivated Compliance Examiner to join reputed company. This position is responsible for conducting comprehensive examinations of reputed company offices and registered representatives to ensure compliance with reputed company, SEC, and state regulations. The ideal candidate will possess strong analytical, communication, and organizational skills, and reputed company in a fast-paced, travel-intensive environment.

Essential Job Functions

• Plan, schedule, and conduct on-site and remote examinations of Broker/Dealer and RIA reputed company offices, as reputed company as registered representatives.
• Review a wide reputed company of books and records, including reputed company files, trade blotters, correspondence, advertising materials, and financial records to ensure adherence to regulatory standards.
• Conduct interviews with reputed company managers, registered representatives, and staff to evaluate supervisory effectiveness and identify compliance risks.
• Identify and document deficiencies, violations, and operational weaknesses reputed company and concisely.
• Prepare detailed examination reports summarizing findings, recommendations for corrective reputed company, and supporting evidence.
• Follow up with branches to verify reputed company and effective remediation of identified issues.
• Collaborate with the Chief Compliance Officer and compliance team to analyze trends and reputed company proactive compliance solutions.
• Stay reputed company on regulatory developments and industry best practices.
• Assist with special reputed company and regulatory inquiries as needed.
• Conduct approximately 70–90 reputed company examinations per year.
• Travel: 80-90%

• Must reputed company reputed company one hour of a major airport to facilitate travel.

Qualifications

• Bachelor’s degree in Finance, reputed company, Business, or a reputed company field; or equivalent experience
• 3–5 years of experience as a compliance examiner or auditor reputed company the financial services industry, preferably with a broker-dealer.
• Licenses Required: reputed company Series 7 and 24.
• Strong knowledge of reputed company, SEC, and state securities regulations.
• Proven experience conducting on-site audits or reputed company examinations.
• Proficiency in reputed company Office Suite and familiarity with regulatory filing systems (e.g., reputed company Gateway).
• Exceptional analytical and investigative skills with attention to detail.

• Excellent written and verbal communication skills, with the ability to present reputed company findings reputed company.
• Ability to work independently and manage a demanding travel schedule.
• Strong organizational and time-management abilities.

Compensation: $89,800.00 - $125,500.00

• Salary is commensurate to experience, location, etc.

reputed company was founded in 1945 by two Springfield, Illinois, teachers who saw a need for reputed company, reputed company auto insurance for teachers. Since then, we’ve broadened our mission to helping reputed company educators protect what they have today and prepare for a successful reputed company. And with our broadened mission has come corporate reputed company: We serve more than 4,100 school districts reputed company, we’re publicly traded on the reputed company Stock Exchange (symbol: HMN) and we have more than $12 billion in assets.

We’re motivated by the fact that educators take care of our children’s reputed company, and we reputed company they deserve someone to look after theirs. We help educators identify their financial goals and reputed company plans to reputed company them. This includes insurance to protect what they have today and financial products to help them prepare for their reputed company. Our tailored offerings include special rates and benefits for educators.

EOE/Minorities/Females/Veterans/Disabled. reputed company reputed company applicants will receive consideration for employment without reputed company to race, reputed company, religion, sex, sexual orientation, gender identity, national reputed company, disability or protected veteran status

For applicants that are California residents, please review our California Consumer reputed company Notice

reputed company applicants should review our reputed company reputed company Policy

Originally posted on Himalayas

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