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Compliance Analyst - Branch Exams
6 days agoWhat's your preference?
Job Description
- Req#: 300000631089730
Employer Industry: Financial Services
Why consider this job opportunity:
- Salary up to $90,000
- Competitive performance-based bonus
- Fully remote position with periodic travel required
- Opportunity to collaborate with leadership and enhance compliance processes
- Chance to apply regulatory knowledge to real-world scenarios
- Supportive and dynamic work environment with a focus on professional development
What to Expect (Job Responsibilities):
- Conduct compliance examinations of securities brokerage and advisory branch offices
- Perform approximately 90% of exams remotely, with up to 40% domestic travel as needed
- Identify, research, and investigate potential audit exceptions
- Lead opening and closing meetings with branch personnel and leadership
- Prepare clear, well-organized audit reports and supporting documentation
What is Required (Qualifications):
- Active Series 7, 24, and 66 licenses (or Series 63 and 65)
- Minimum of 5 years of relevant experience in branch examinations or audits, broker-dealer operations, or securities/investment advisory compliance
- Ability to work independently in a remote, self-directed environment
- Strong written and verbal communication skills
- Proficiency with Microsoft Office, including Word, Excel, Teams, and Outlook
How to Stand Out (Preferred Qualifications):
- Bachelor's or Associate's degree in Business, Finance, Accounting, or Economics
- 10+ years of experience in financial services or a related field
- Prior experience working remotely and traveling regularly for business
- Comfortable leveraging AI-enabled tools to improve efficiency and quality
- Experience in AI Prompt Engineering
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