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Mindlance
Branch Examiner / Compliance OfficerMindlance • Jersey City, NJ, United States
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Branch Examiner / Compliance Officer

Branch Examiner / Compliance Officer

Mindlance • Jersey City, NJ, United States
29 days ago
Job type
  • Full-time
Job description

Branch Examiner / Compliance Officer

Location: Jersey City, NJ

Duration: 11 Weeks

Daily Responsibilities:

  • The Branch Inspection Program is one pillar of the US Broker-Dealer Shared Services team responsible for reviewing for compliance with FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27, and various internal Firm policies and procedures. The Program reviews for compliance across four Client locations.
  • Utilizing both on-site and virtual inspections, the Examiner is expected to complete numerous inspections per year of various Firm locations. This includes traveling by air and/or car to certain locations.
  • Review work performed by offshore examiners, to verify accuracy and completion, and to assist in the planning of their on-site and virtual inspections.
  • Conduct virtual/on-site inspections to detect instances of policy violations, including but not limited to information barrier concerns, safeguarding of information, conflicts of interest, etc.
  • The employee is expected to hold discussions either in-person or virtually with applicable branch or location personnel, summarize reviews in a written final report, maintain appropriate documentation to support reviews and findings/issues, and escalate any areas where concerns were noted.
  • The final report will be distributed to business stakeholders, inclusive of senior management, and may require presentations by the examiner.
  • The employee is expected to contribute/generate ideas for enhancements to the Program by leveraging industry research, holding discussions with LOB Compliance Advisory teams, and other methods.
  • Willing to assist with special projects as they arise. Examples include but are not limited to relevant investigations, complaints, escalations, Regulatory Compliance Management (RCM), etc

Must Have Skills:

  • Bachelor's degree
  • Knowledge of FINRA (particularly Rule 3110), SEC, and MSRB expectations, rules, and regulations
  • Familiarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer.
  • Experience in roles in any of the following areas: Compliance Testing, Monitoring, Quality Assurance, Branch Inspections, Surveillance, and/or Internal Audit.
  • Experience conducting phone interviews
  • Experience using Excel (advanced- i.e. v-lookups, pivot tables), Word (basic), Outlook (basic), Adobe (Basic)

Mindlance is an Equal Opportunity Employer and does not discriminate in employment on the basis of Minority/Gender/Disability/Religion/LGBTQI/Age/Veterans.

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Branch Examiner / Compliance Officer • Jersey City, NJ, United States

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