Branch Office Examiner
- Expired: over a month ago. Applications are no longer accepted.
Branch Office Examiner
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
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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