Posted 1mo ago•Remote
Compliance Examiner - Broker Dealer
MiddleRemote€5,000 – €6,700 / mo
Job Description
Job Title: Compliance Examiner – Broker Dealer
Location: Remote
About the Role
We are seeking an experienced and highly motivated Compliance Examiner to join our team. This position is responsible for conducting comprehensive examinations of branch offices and registered representatives to ensure compliance with FINRA, SEC, and state regulations. The ideal candidate will possess strong analytical, communication, and organizational skills, and thrive in a fast-paced, travel-intensive environment.
Essential Job Functions
- Plan, schedule, and conduct on-site and remote examinations of Broker/Dealer and RIA branch offices, as well as registered representatives.
- Review a wide range of books and records, including client files, trade blotters, correspondence, advertising materials, and financial records to ensure adherence to regulatory standards.
- Conduct interviews with branch managers, registered representatives, and staff to evaluate supervisory effectiveness and identify compliance risks.
- Identify and document deficiencies, violations, and operational weaknesses clearly and concisely.
- Prepare detailed examination reports summarizing findings, recommendations for correc
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