Branch Examiner / Compliance Officer
MindlanceJersey City, NJ
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Overview
Remote
On-site
Job Description
Job Title: Branch Examiner / Compliance OfficerLocation: Jersey City, NJ Duration: 11+ WeeksDaily 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
- 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)
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FAQs About Branch Examiner / Compliance Officer Jobs at Mindlance
What is the work location for this position at Mindlance?
This job at Mindlance is located in Jersey City, NJ, according to the details provided by the employer. Some roles may also include multiple work locations depending on the requirement.
What pay range can candidates expect for this role at Mindlance?
Employer has not shared pay details for this role.
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