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Job description
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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Worksite address
san diego, CA, 92189, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.