Remote Senior Financial Branch Examiner

Employer
VirtualVocations.com
Location
Baltimore, MD
Posted
Mar 13, 2017
Closes
Mar 27, 2017
Function
Finance
Hours
Full Time
An independent broker-dealer has a current position open for a Remote Senior Financial Branch Examiner.Core Responsibilities of this position include: Performing all functions of branch examsConducting in-person consultations with branch manager, advisors and support staffPreparing audit letter based on deficiencies identified during branch exam and provide instructionsQualifications Include: Comfortable with up to 50% travel; ability to travel frequently and on short notice 5-7 years of related industry experience; preferably auditing, exams, and compliance experienceStrong working knowledge of regulatory rules and company's financial policies and proceduresSeries 7, 24 and 63 required