Branch Examiner / Compliance Officer

Mindlance

Jersey City, NJ

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JOB DETAILS

SKILLS

Adobe Product Family, Brokerage, Capital Markets, Hyperion Pillar, Internal Audit, Interviewing Skills, Maintain Compliance, Management Strategy, Microsoft Outlook, Microsoft Word, Pivot Tables, Product Strategy, Quality Assurance, Quality Monitoring, Regulations, Securities and Exchange Commission (SEC), Support Documentation, Surveillance, Testing, Vlookups, Wealth Management

LOCATION

Jersey City, NJ

POSTED

30+ days ago

Job Title: Branch Examiner / Compliance Officer
Location: Jersey City, NJ
Duration: 11 Weeks

Daily Responsibilities:

The Branch Inspection Program is one pillar of the US Broker-Dealer Shared Services team responsible for reviewing for compliance with FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27, and various internal Firm policies and procedures. The Program reviews for compliance across four Client locations.
Utilizing both on-site and virtual inspections, the Examiner is expected to complete numerous inspections per year of various Firm locations. This includes traveling by air and/or car to certain locations.
Review work performed by offshore examiners, to verify accuracy and completion, and to assist in the planning of their on-site and virtual inspections.
Conduct virtual/on-site inspections to detect instances of policy violations, including but not limited to information barrier concerns, safeguarding of information, conflicts of interest, etc.
The employee is expected to hold discussions either in-person or virtually with applicable branch or location personnel, summarize reviews in a written final report, maintain appropriate documentation to support reviews and findings/issues, and escalate any areas where concerns were noted.
The final report will be distributed to business stakeholders, inclusive of senior management, and may require presentations by the examiner.
The employee is expected to contribute/generate ideas for enhancements to the Program by leveraging industry research, holding discussions with LOB Compliance Advisory teams, and other methods.
Willing to assist with special projects as they arise. Examples include but are not limited to relevant investigations, complaints, escalations, Regulatory Compliance Management (RCM), etc

Must Have Skills:
Side note: Possible travel 1-2 times a month

Bachelor’s degree
Knowledge of FINRA (particularly Rule 3110), SEC, and MSRB expectations, rules, and regulations
Familiarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer.
Experience in roles in any of the following areas: Compliance Testing, Monitoring, Quality Assurance, Branch Inspections, Surveillance, and/or Internal Audit.
Experience conducting phone interviews
Experience using Excel (advanced- i.e. v-lookups, pivot tables), Word (basic), Outlook (basic), Adobe (Basic)

“Mindlance is an Equal Opportunity Employer and does not discriminate in employment on the basis of – Minority/Gender/Disability/Religion/LGBTQI/Age/Veterans.”

Branch Examiner / Compliance Officer

Mindlance

Jersey City, NJ

About the Company

Mindlance

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