Compliance Officer – Field Examiner

A financial services organization is seeking a Compliance Officer to support its branch examination and supervisory oversight program. This role focuses on evaluating regulatory compliance, assessing branch-level controls, identifying potential risks, and ensuring that financial advisors and supervisory personnel adhere to applicable industry regulations and internal policies. The ideal candidate has experience in broker-dealer compliance, branch examinations, or supervisory oversight, along with strong analytical, investigative, and communication skills. **Key Responsibilities** **Branch Examinations & Compliance Reviews** * Plan and execute risk-based inspections of broker-dealer and investment advisory offices, including supervisory and remote locations. * Review advisor activities, client records, business practices, and operational procedures for compliance with FINRA, SEC, and state regulations. * Evaluate supervisory controls and identify gaps in regulatory compliance, documentation, and internal processes. * Analyze branch-level data, previous examination findings, and emerging risk indicators to determine areas requiring additional review. * Document examination results, prepare detailed reports, and recommend appropriate corrective actions. **Risk Assessment & Remediation** * Investigate potential compliance concerns, supervisory deficiencies, and operational risks. * Partner with internal stakeholders to address examination findings and monitor remediation efforts. * Assess the effectiveness of corrective measures and identify recurring issues or underlying control weaknesses. * Escalate significant regulatory, ethical, operational, or reputational concerns to appropriate leadership. * Recommend improvements to supervisory practices, examination procedures, and compliance controls. **Regulatory Guidance & Training** * Provide compliance guidance to financial advisors, branch supervisors, and operational personnel. * Support the development and delivery of training on regulatory requirements, supervisory responsibilities, and compliance best practices. * Monitor regulatory developments and assess their potential impact on branch operations. * Assist with regulatory examinations, audits, and documentation requests. * Collaborate with compliance leadership on risk assessments, process improvements, and special initiatives. **Qualifications** **Required** * Bachelor's degree in a relevant discipline; equivalent financial services experience may be considered. * FINRA Series 7 and Series 24 licenses, or ability to obtain both within an employer-established timeframe. * Understanding of FINRA, SEC, and state regulations governing broker-dealers and investment advisory activities. * Strong analytical, investigative, interviewing, and documentation skills. * Ability to prepare comprehensive examination reports and communicate findings effectively. * Strong organizational skills and ability to manage multiple assignments independently. **Preferred** * 3+ years of experience in broker-dealer compliance, branch examinations, supervision, audit, operations, or financial services risk management. * Experience evaluating supervisory procedures, identifying regulatory deficiencies, and overseeing corrective actions. * Additional licenses such as Series 51, 63, 65, or Group I Insurance, or willingness to pursue them. * Experience supporting regulatory examinations, advisor oversight, and compliance training.