Branch Office Examiner - Broker/Dealer

Review of branch office records, completed questionnaires and branch operating procedures to ascertain compliance with Firm policies and procedures, Federal, Self Regulatory Organization (SRO) Rules and Regulations.
Follow a set of modules assigned and formulated for the Branch Examination Program.
Conduct  one-on-one meetings/interviews with branch office management, Registered Representative and other personnel.
Conduct Annual Compliance Meetings in Branch Offices.

At least two (2) or more years of Branch Examination, Broker-Dealer compliance or regulatory work experience
Effective communication skills and attention to detail desired
Series 7 FINRA Registration, preferred
Bachelor’s Degree, preferred

This is a full-time permanent position. In addition to salary,  the position will offer benefits that are available to all Company employees.

Travel within the United States approximately may be 60% annually with 100% Company expense coverage reimbursement.

Competitive salary and benefits package. ANNUAL Cash Bonus potential and career mobility offered.

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If this sounds like the right job for you, you can use the button below to submit your resume. Please attach resume in Word format preferably or send e-mail with it attached. Contact information is on Rosenthal Recruiting website.