Compliance Officer Branch Examinations

The ideal candidate has experience in broker-dealer compliance, branch inspections, or securities supervision and can independently manage examinations while building strong relationships with business stakeholders. This position involves conducting risk-based reviews of financial advisor offices, assessing supervisory controls, identifying compliance deficiencies, and recommending corrective actions.

A financial services organization is seeking a Compliance Officer to oversee branch examination activities and evaluate adherence to securities regulations, supervisory standards, and internal policies.

This position involves conducting risk-based reviews of financial advisor offices, assessing supervisory controls, identifying compliance deficiencies, and recommending corrective actions.

The ideal candidate has experience in broker-dealer compliance, branch inspections, or securities supervision and can independently manage examinations while building strong relationships with business stakeholders.

RESPONSIBILITIES

Branch Examinations & Compliance Reviews

• Plan and conduct regulatory compliance examinations of broker-dealer and investment advisory locations, including supervisory offices, remote locations, and other affiliated business sites.
• Review financial advisor activities, supervisory procedures, client documentation, and operational practices for compliance with FINRA, SEC, state securities regulations, and internal policies.
• Assess the effectiveness of supervisory controls and identify potential regulatory, operational, and conduct risks.
• Apply risk-based examination techniques using business data, regulatory developments, and historical findings.
• Maintain thorough examination records and supporting documentation.

Risk Assessment & Remediation

• Identify compliance violations, supervisory weaknesses, and areas requiring further investigation.
• Prepare detailed examination reports summarizing findings, regulatory concerns, and recommended corrective actions.
• Coordinate with compliance leadership and business partners to resolve deficiencies and track remediation efforts.
• Evaluate corrective actions to confirm identified issues and underlying causes have been addressed.
• Escalate significant regulatory concerns, customer complaints, potential misconduct, and supervisory failures.
• Analyze examination trends to identify recurring issues and opportunities to improve compliance controls.

Regulatory Guidance & Training

• Provide guidance to financial advisors, branch supervisors, and support personnel on securities regulations and supervisory expectations.
• Assist with compliance training, educational materials, and communications designed to reinforce regulatory standards.
• Support regulatory examinations, internal audits, and information requests.
• Recommend improvements to examination procedures, reporting tools, and supervisory practices.
• Participate in compliance initiatives, risk assessments, and special projects.

QUALIFICATIONS

• Bachelor's degree in a relevant discipline preferred;equivalent industry experience may be considered.
• Approximately 3+ years of experience in securities compliance, branch examinations, supervision, internal audit, operations, or financial services risk management preferred.
• FINRA Series 7 and Series 24 licenses required, or ability to obtain both within an established timeframe.
• Knowledge of FINRA, SEC, and state regulatory requirements governing broker-dealers and registered investment advisers.
• Strong understanding of supervisory controls, compliance examinations, and regulatory documentation.
• Excellent analytical, investigative, interviewing, and problem-solving abilities.
• Strong written communication skills, including preparation of clear, well-supported examination reports.
• Ability to independently manage multiple examinations, priorities, and deadlines.
• Effective interpersonal and presentation skills, with the ability to communicate findings and influence corrective actions.
• Collaborative approach to working with financial advisors, management, and compliance teams.

PREFERRED EXPERIENCE

• Additional securities registrations, including Series 51, 63, or 65.
• Insurance licensing, such as Group I, or willingness to pursue additional professional credentials.
• Direct experience conducting broker-dealer or investment advisory branch examinations.
• Familiarity with Office of Supervisory Jurisdiction (OSJ) requirements and financial advisor supervisory practices.
• Experience investigating regulatory deficiencies, monitoring remediation, or developing compliance training.
• Background supporting regulatory examinations or internal supervisory reviews.