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Branch Examiner
Location
Boston, MA, United States
Posted on
Dec 02, 2022
Profile
Branch Examiner
The candidate will review and research branch office activities to identify red flag issues and determine compliance with the 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 and synthesize the result of the testing program for communication to management. Maintain working knowledge of current FINRA, SEC and state regulatory issues, as well as the own written supervisory procedures. Productively work pro-actively communicate with colleagues located around the country and travel for work on a regular basis (approximately 30% travel) primarily throughout the geographic region. Should have an university degree (or international equivalent) preferably in finance, economics or business administration. MBA or J.D. degree is preferred.
Company info
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