Compliance Examiner

📋 Description

• Conduct on-site and virtual WM branch examinations.
• Serve as ongoing compliance contact for branches.
• Schedule examinations and manage related travel expenses.
• Collect and analyze data to identify irregularities and trends.
• Draft communications and provide guidance on compliance issues.

🎯 Requirements

• FINRA SIE, Series 7, and Series 65/66; and Series 9/10 or 24 licensing; willingness to obtain within 6 months.
• Bachelor's degree in business/finance or related field, or relevant securities industry experience.
• 2+ years compliance experience; 5+ years industry experience preferred.
• Knowledge of FINRA, SEC, MSRB and related rules; investment concepts.
• Experience conducting surveillance oversight of firm supervisory processes.
• Strong written, verbal, interpersonal skills; ability to engage with senior leaders and external auditors.

🎁 Benefits

• Medical, Dental and Vision
• Company 401(k) and ESOP contribution
• Generous sick, vacation, and maternity/parental leave
• Paid holidays
• Professional Development Opportunities
• Tuition Reimbursement ($15,000 lifetime cap)