We're looking for an experienced compliance leader to oversee a nationwide branch inspection function within a highly regulated financial services environment. This position is responsible for developing and executing a risk-based inspection strategy, leading a team of compliance professionals, and ensuring field offices operate in accordance with regulatory requirements and internal supervisory standards
.This individual will partner closely with senior compliance leadership to strengthen inspection processes, identify emerging risks, support regulatory readiness, and promote consistent supervisory practices across the organization
What You'll
- DoLead the overall strategy, execution, and ongoing enhancement of the branch inspection progra
- m.Develop risk-based inspection plans, including annual risk assessments and inspection schedule
- s.Direct routine and targeted reviews of branch offices, supervisory locations, and financial professionals based on business or regulatory ris
- k.Manage the end-to-end inspection process, from planning and execution through reporting and follow-u
- p.Review inspection results to ensure findings are appropriately documented, risk-rated, and remediate
- d.Evaluate supervisory concerns, policy exceptions, and potential misconduct, escalating issues and recommending corrective actions when appropriat
- e.Establish quality assurance standards that drive consistency, accuracy, and effectiveness across inspection activitie
- s.Lead, coach, and develop a team of inspection professionals while creating clear performance expectations and career growth opportunitie
- s.Partner with business leaders to provide regulatory guidance and practical compliance suppor
- t.Assist with regulatory examinations, internal audits, and responses to oversight inquirie
- s.Identify trends, emerging risks, and control gaps, providing recommendations to strengthen supervisory program
- s.Support updates to compliance policies, procedures, and inspection methodologie
- s.Enhance reporting capabilities and inspection technology to improve efficiency, data quality, and program oversigh
- t.Deliver training and ongoing education to inspection staff and field personnel on regulatory expectations and supervisory responsibilitie
- s.Act as a trusted liaison between Compliance and field leadership to promote a strong culture of complianc
- e.Participate in internal investigations and special compliance initiatives as neede
d.Leadership Responsibilit
iesThis position provides leadership for the branch inspection function, including oversight of senior examiners, examiners, quality assurance personnel, and future team growth. Responsibilities include hiring, coaching, performance management, workload planning, and developing a high-performing inspection organisati
on.Qualificat
ionsEduca
- tionBachelor's degree requi
red.Experi
- enceMinimum of eight years of compliance experience within the financial services indus
- try.Three or more years of leadership experience managing teams in compliance, audit, inspection, or risk managem
- ent.Prior experience conducting branch or field examinations within a broker-dealer or registered investment adviser environment is strongly prefer
red.Required Lice
- nsesFINRA Series 7 and Series
24.Knowledge & Sk
- illsComprehensive understanding of SEC, FINRA, and state regulatory requirements governing broker-dealers and investment advis
- ers.Working knowledge of investment and insurance produ
- cts.Demonstrated ability to lead teams, influence stakeholders, and drive organizational cha
- nge.Strong analytical and investigative skills with sound judgment and attention to det
- ail.Excellent written, verbal, and presentation ski
- lls.Ability to manage multiple priorities in a fast-paced regulatory environm
- ent.Comfortable working independently while collaborating across business and compliance te
- ams.Willingness to travel to field locations as nee