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Branch Examiner Duties: Review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures; communicate with branch managers and sales support personnel regarding office procedures and financial advisor activity in a high pressure environment; prepare detailed work papers to support the results of the testing program; synthesize the result of the testing program for communication to senior management; maintain a working knowledge of current FINRA, SEC and state regulatory issues, as well as the company’s own written supervisory procedures; productively work from home full time and pro-actively communicate with colleagues located around the country. Will be working as part of the Branch Review Group, a unit within Compliance and Operational Risk Control (C&ORC) for Wealth Management Americas.
Qualification and Experience
Qualifications: A university degree. Preferably in finance, economics, business administration and/or an MBA or JD Degree. Ability to perform investigative, analytical and interviewing responsibilities in a high pressure, deadline driven environment. Excellent written and verbal communication skills. Excellent organizational, planning, and time management skills, as well as, proficiency in Microsoft Office – Word, Outlook, PowerPoint and Excel. A great communicator – and you know how to handle challenging situations. Team-orientated, while able to complete tasks independently.
Job Reference # 150628BR
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