What are the responsibilities and job description for the Supervision Auditor position at Candidate Experience site?
Securities Compliance Auditors conduct audits of branch offices to determine compliance with FINRA, SEC and State requirements, and company policies and procedures.
This is a hybrid role, 2 days weekly in the office. Must be located near an office location: El Segundo, CA | San Diego, CA | Dallas, TX | Des Moines, IA | Schaumburg, IL | St Cloud, MN | St Paul, MN.
What you will do:
- Directly oversees advisors by conducting branch audits of brokerage and advisory branch offices
- Provide education and training to Representatives concerning regulatory, corporate, and legal requirements, general product offerings, licensing issues as well as internal processes & procedures
- Draft and distribute Monthly Best Practices communications to Designated Supervisors and Financial Institution Sr Management
- Correspond with Advisors and Program Managers to communicate and resolve any exceptions noted during the audit
- Review books and records
- Investigate potential audit exceptions
- Prepare reports
- Work on special projects
- Domestic travel is required, 30% of the time to conduct branch audits
What you need to have:
- Bachelor’s Degree required (in Business, Finance, Accounting or Economics preferred)
- Series 7, 24, and 65/66
- 5 years of related experience in supervision, auditing, examining, broker-dealer operations, or securities/advisory compliance.
- Must possess a self-directed work style, and the ability to work with a team. Strong written and verbal communication skills are essential.
- PC skills must include familiarity with MS Office, including proficiency in MS Word and Excel.
What is nice to have:
- Series 53 and/or insurance license
Compensation:
The base annual salary range for this role is $55,000 to $95,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
#LI-Hybrid
Salary : $55,000 - $95,000
