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Branch Office Examiner

Grove Point Financial
Rockville, MD
  • Expired: over a month ago. Applications are no longer accepted.
Job Description

Branch Office Examiner

SUMMARY:

The primary task of the Branch Office Examiner (BOE) is to conduct branch office exams according to the firm’s procedures.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

  • Schedule and prepare for branch office examinations utilizing RegEd AuditTrax.
  • Responsible for all business-related travel planning in accordance with the firm’s travel policy and

use of the corporate credit card.

  • Conduct onsite examinations and interviews with branch representatives and assistants.
  • Discuss compliance requirements with branch and other personnel as necessary.
  • Ensure that follow-up deficiency items are corrected in a timely manner by the examinees.
  • Escalate items of concern as appropriate and document the results of the firm’s examination process in RegEd AuditTrax.
  • Communicate the firm’s policies and procedures to branch personnel.
  • Be accessible to Registered Representatives when necessary to meet Compliance service commitments.

KNOWLEDGE, SKILLS, AND/OR ABILITIES

  • Thorough understanding of firm’s policies and procedures, including the firm’s RR Compliance Manual.
  • Strong communication skills.
  • Professional, engaging and positive demeanor.
  • Ability to effectively communicate compliance priorities to a broad range of registered representatives.
  • Task oriented with attention to detail.

EDUCATION AND/OR EXPERIENCE

  • Bachelor’s degree or combination of experience and education.
  • Ability to travel approximately 50%.
  • Two or more years of related compliance experience, preferable in a dually registered independent broker/dealer.
  • Experience utilizing RegEd workflow a plus

CERTIFICATIONS, LICENSES, REGISTRATIONS

  • Series 7
  • Series 24 – required but will allow candidate to obtain within 120 days of hire.
  • Life and health insurance licenses desirable but not necessary.
  • Series 66 or S65/S63 highly desirable

PHYSICAL DEMAND

Must have mobility to attend meetings with other team members and be able to travel when necessary. Employee may be required to lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision. While performing the duties of this job, the employee is regularly required to sit; finger dexterity is required for computer use.

The above position description is not intended to be an all-inclusive list of duties and standards of the position. Other instructions and related duties may be assigned by their manager.

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Grove Point Financial

Address

Rockville, MD
USA

Industry

Finance and Insurance

View all jobs at Grove Point Financial