Compliance Officer Branch Audit

Compliance Officer Branch AuditComplianceWaltham, MAFinancial ServicesJO- Job DescriptionAs a compliance advisor on the Branch Audit team, you'll be traveling to advisor offices nationwide to conduct on-site inspections (both scheduled and unannounced) to help us oversee the securities and advisory business of nearly 1,800 advisors. Your mission will be to ensure that each business is run in a manner that is consistent with both the spirit and the letter of industry rules and regulations, as well as the firm's compliance and supervisory programs, to decrease exposure to regulatory and financial risk.You will need to be excellent communicators who are analytical and detail-driven. Being on the road and working with minimal supervision, they also must be skilled at managing their time and meeting deadlines.ResponsibilitiesConducting on-site inspections of branch offices nationwide and documenting associated audit findings in a timely mannerCommunicating regularly with advisors, as well as home office employees, regarding firm policies and proceduresCompleting a variety of general compliance projects, such as drafting internal communications; presenting at firm conferences; conducting continuing education teleconferences, data analysis, and internal compliance reviews; and performing other tasks as assignedRequirementsThe ideal candidate for this position would also meet the following requirements:A minimum of 3 years of experience in compliance or the financial services industryFINRA Series 7 securities registration required; FINRA Series 24 securities registration required within 3–6 monthsAble to commit to traveling 40 percent–50 percent of the timeExcellent written and verbal communication skillsDetail-oriented with strong analytical and organizational skillsAbility to meet deadlines in a fast-paced environmentAbility to work under minimal supervisionProficient in Microsoft Word and Excel