Branch Examiner
Steward Partners
- Saint Paul, Illinois, United States
- Saint Paul, Illinois, United States
Über
The Branch Examiner will be responsible for executing both onsite and remote office inspections across the Firm. Duties and Responsibilities
Conduct approximately 30-50 branch exams per year, either onsite or remotely Travel independently up to 25-50% of the time to branch locations Provide training and education on firm policies and procedures to branch personnel Schedule exams by working with onsite branch personnel and remote supervision staff Prepare for exams by generating and reviewing various reports Create and distribute an exam findings summary Prepare detailed reports documenting findings, investigation results, and remediation steps. Analyze and identify patterns of findings trending across the organization. Collaborate across appropriate business units to address findings and implement solutions. Support investigations of suspected misconduct, policy violations, or regulatory breaches. Design and execute internal tests in accordance with FINRA rule 3120, 206(4)-7 of the Advisors Act of 1940 and other testing initiatives. Support functions of the surveillance team including preparation and review of exception reports on an as needed basis All other duties as assigned. Skills, Experience & Qualifications
2+ years of related experience in Financial Services, preferably within Wealth Management, and involvement in Audit or Compliance functions Bachelor’s degree or equivalent work experience Active FINRA Series 7, 9/10 or Series 24 licenses Familiarity with broker-dealer and investment adviser operations, including trading, portfolio management, and client servicing. Knowledge of products and markets, particularly retail brokerage, investment advisory programs, trade support, Insurance Products, banking products, and capital markets Ability to manage the execution of a wide range of tasks and initiatives with minimal direct supervision Precision in reviewing transactions, communications, and records for potential violations or discrepancies. Strong written and verbal communication skills. Including the ability to document findings clearly and thoroughly. Independent self-starter who can manage multiple activities to defined deadlines in a team setting Excellent analytical, critical thinking, and organizational skills with the ability to exercise good judgment Ability to analyze large sets of data to identify irregularities or trends indicating potential compliance issues. Proficient in data analysis tools as well as Microsoft Excel, PowerPoint, Word, SharePoint, and other MS Office Suite applications.
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Sprachkenntnisse
- English
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