Growing Financial Firm in Carmel Valley area of San Diego needs a Branch Inspector to conduct on-site examinations of branch offices for both the Broker-Dealer and Registered Investment Adviser (RIA) entities. You will be:
- Scheduling, prepping and completion of on-site branch office inspections.
- Providing guidance and direction to promote efficiency in branch offices that are in line with firm policies and procedures.
- Compiling audit findings and generate reports to the branch principal.
- Following up with branch on any significant findings or any issues that require attention/remediation
- Performing in-depth reviews of industry or regulatory changes that may impact branch office responsibilities and develop strategies to help the firm work to maintain compliance with such changes
- Participating in the maintenance of internal audit policies and procedures
To succeed in this role, you will want to have:
- Bachelor’s degree in a business or related field.
- Series 7 and 63 are required at hire; Series 24 required within one year.
- One to three years of branch audit experience (other compliance or supervision experience will be considered, but field audit experience is preferred).
- Ability to travel up to one week at a time and up to two weeks per month (approximately 50% travel / 50% office-based).
- In-depth understanding of SRO, federal, and state regulations regarding broker-dealers and RIAs.
If this sounds like you, please apply today for immediate consideration.
Job Type: Full-time
- 401(k) matching
- Health insurance
Ability to Commute:
Ability to Relocate:
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