Principal Branch Examiner, Equity Services, Inc. - Remote Eligible

Principal Branch Examiner, Equity Services, Inc.

Job Category: Financial Services

Requisition Number: ESIPR004285

Full-Time

Hybrid

Salary Range: $74,000 USD to $137,000 USD

Remote / Virtual United States

Description

Branch Examiner, Compliance

Please note that we do not offer visa sponsorship for this position.

Position Summary

The Branch Examiner reports to the Director, Branch Examinations. The responsibilities of this role include performing branch office examinations, develop and conduct field training, and other projects, as necessary.

The Branch Examiner will conduct field and home office branch office examinations, including associated pre-audit work, on-site examinations, post-examination follow-up, articulating findings and recommendations in a final written report, and conducting internal inquiries when presented with possible violative behavior. This position requires approximately 40% - 50% travel. The incumbent may also assist with the development and conduct of other Firm-wide training, as necessary.

Essential Duties and Responsibilities

• Work as part of the Compliance Department to support the Firm's Broker-Dealer and Registered Investment Adviser.
• Conduct compliance examinations of the Firm's branch and home office locations.
• Assist with developing the Firm's branch and home office inspection program.
• Maintain and update the Firm's examination documents to ensure robust and relevant examination procedures.
• Assist and provide guidance and training to field compliance examiners and branch office supervisors regarding branch office requirements.
• Review, track, and ensure completion of branch office inspections conducted by OSJ supervisors.
• Investigate potential violations of regulatory requirements or firm procedures by associated persons and make recommendations regarding appropriate disciplinary action.
• Identify and escalate potential compliance matters to business management and field supervisors.
• Assist in the development and implementation of correction plans for out-of-compliance situations and monitoring results for success.
• Assist in responding to regulatory inquiries, customer complaints, and ad-hoc projects.
• Research SEC/FINRA/MSRB/State-specific regulations and laws to determine applicability to the Firm's examination program and related activities.
• Develop communications that relay Firm policies, regulatory changes/updates, and reminders of Firm policy to relevant audiences (i.e. registered representatives, investment adviser representatives, field supervisors, non-registered associated persons, etc.)
• Participate in and/or lead project completion with respect to general compliance initiatives.
• Conduct special training, compliance risk management or similar tasks.
• Maintain quality customer relations with emphasis on service, delivery of quality work product, and support of business needs and requirements.
• Periodically attend professional and/or industry meetings, seminars and continued education programs to remain current in compliance, regulatory requirements and firm procedures.
• Perform other duties as assigned.

Requirements

• Bachelor's Degree or equivalent combination of education and experience
• Minimum 3 years of General Securities Compliance
• Minimum 3 years of Compliance Auditing within a Broker Dealer
• Experience conducting in-person and remote examinations
• FINRA Series 7 and 24 licensing required

Additional Preferred Qualifications

• Municipal Securities Series 51 or 53
• Investment Adviser Representative (NASAA Series 65) registration
• State insurance license and insurance industry certifications are also a plus (e.g. CLU, ChFC, FLMI).

The base compensation range represents the low and high end of the range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to qualifications, skills, competencies, location, and experience. The range listed is just one component of our total compensation package for employees.

Other rewards may include an annual bonus, quarterly bonuses, commissions, and other long-term incentive compensation, depending on the position. National Life offers a competitive total rewards package which includes: a 401(k) retirement plan match; medical, dental, and vision insurance; a company funded wellness account for director and below employees; 10 paid holidays; a generous paid time off plan (22 days of combined time-off for non-exempt employees and exempt employees have discretion in managing their time, including scheduling time off in the normal course of business, but in no event will exempt employees receive less sick time than required by state or local law); 6 weeks of paid parental leave; and 6 weeks of paid family leave after a year of full-time employment.

National Life is accepting applications for this role on an ongoing basis and the role remains open until filled.

National Life Group® is a trade name of National Life Insurance Company, Montpelier, VT – founded in 1848, Life Insurance Company of the Southwest, Addison, TX – chartered in 1955, and their affiliates. Each company of National Life Group is solely responsible for its own financial condition and contractual obligations. Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. All other entities are independent of the companies of National Life Group.