Branch Office Examiner - Broker/Dealer
Rosenthal RecruitingChicago, Illinois, United States
Posted January 23, 2016
Full Time
About the Company
The Rosenthal Consulting Group provides human resource services focused on financial services like investment advisors and banks.
Job Description
Review branch office records and conduct meetings to ensure compliance with firm policies and regulations. Requires 2+ years of branch examination or compliance experience, Series 7 FINRA registration, and a bachelor's degree. Travel may be 60% annually with 100% company expense coverage.
Requirements
- At least 2+ years of branch examination, broker-dealer compliance, or regulatory work experience
- Series 7 FINRA registration (preferred)
- Bachelor's Degree (preferred)
Benefits
- Competitive salary and benefits package
- Annual cash bonus potential
- Career mobility
