Branch Office Examiner - Broker/Dealer

  • Chicago, IL
  • Full-time

Company Description

Broker - Dealer, FINRA Member Investment Bank. U.S. Based Financial Services Company. Specialties and products include: Investments, Retirement Planning and Capital Markets. Offices in other major U.S. Cities certain of which are where this Examiner position may also be based.

Job Description

Review of branch office records, completed questionnaires and branch operating procedures to ascertain compliance with Firm policies and procedures, Federal, Self Regulatory Organization (SRO) Rules and Regulations.   
Follow a set of modules assigned and formulated for the Branch Examination Program.   
Conduct  one-on-one meetings/interviews with branch office management, Registered Representative and other personnel.   
Conduct Annual Compliance Meetings in Branch Offices.


At least two (2) or more years of Branch Examination, Broker-Dealer compliance or regulatory work experience
Effective communication skills and attention to detail desired

Series 7 FINRA Registration, preferred
Bachelor’s Degree, preferred

Additional Information

This is a full-time permanent position. In addition to salary,  the position will offer benefits that are available to all Company employees.

Travel within the United States approximately may be 60% annually with 100% Company expense coverage reimbursement.

Competitive salary and benefits package. ANNUAL Cash Bonus potential and career mobility offered.


If this sounds like the right job for you, you can use the button below to submit your resume. Please attach resume in Word format preferably or send e-mail with it attached. Contact information is on Rosenthal Recruiting website.