Branch Office Examiner - Broker/Dealer

Review of branch office records, completed questionnaires and branch operating procedures to ascertain compliance with Firm policies and procedures, Federal, Self Regulatory Organization (SRO) Rules and Regulations. Follow a set of modules assigned and formulated for the Branch Examination Program. Conduct one-on-one meetings/interviews with branch office management, Registered Representative and other personnel. Conduct Annual Compliance Meetings in Branch Offices. At least two (2) or more years of Branch Examination, Broker-Dealer compliance or regulatory work experience Effective communication skills and attention to detail desired Series 7 FINRA Registration, preferred Bachelor’s Degree, preferred This is a full-time permanent position. In addition to salary, the position will offer benefits that are available to all Company employees. Travel within the United States approximately may be 60% annually with 100% Company expense coverage reimbursement. Competitive salary and benefits package. ANNUAL Cash Bonus potential and career mobility offered. --------------- If this sounds like the right job for you, you can use the button below to submit your resume. Please attach resume in Word format preferably or send e-mail with it attached. Contact information is on Rosenthal Recruiting website. Broker • Dealer, FINRA Member Investment Bank . U.S. Based Financial Services Company. Specialties and products include: Investments, Retirement Planning and Capital Markets. Offices in other major U.S. Cities certain of which are where this Examiner position may also be based.