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Branch Examiner
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Branch Examiner .
Req #: 3206006-4755 Location: US-TBD .
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Responsibilities: .
Under minimal supervision, helps to ensure compliance with applicable industry rules (State, FINRA and SEC regulations) and company policies by conducting branch audits and reporting findings. As part of the Compliance system of supervision, position is responsible for conducting various tasks toward the overall supervision and oversight of LPL Financial Institution Services FINRA registered branch, satellite, and Offices of Supervisory Jurisdiction (OSJ) locations. Also responsible for answering general compliance questions, conducting suitability reviews of transactions, and conducting a variety of general compliance functions.
• Conduct a pre-audit review of branch records. Pre-audit responsibilities include: review customer accounts and transactions for suitability; identify customer accounts for further onsite review; review outside business activities, customer complaints and other representative related issues; review previous compliance record of branch offices; identify other compliance-related issues prior to audit; prepare files and review other documents in preparation of branch audits. Travel to various branch locations to conduct onsite audits.
• Interview managers regarding sales practices and record keeping practices in branch offices.
• Review branch office files and customer files onsite at branch offices to verify that required records are being maintained. Review transactions for suitability and identify possible sales practice issues. Review branch office supervision procedures.
• Prepare written reports summarizing the outcome of branch audits.
• Answer compliance-related incoming calls from representatives. These may include questions on appropriate sales practices, appropriate investments for clients, recordkeeping requirements, company policies and procedures, SEC/FINRA/state rules and regulations and other compliance-related issues.
• Other tasks as may be assigned by Compliance Department management.
The Branch Examiner position is home-based. The Examiner will travel approximately 50% of the time and overnight stays may be required, depending on the distance to the branch offices being audited.
Qualifications: .
• Series 7 Required.
• Series 24, 63 & 65 (or Series 66) Preferred.
• Must be detail-oriented, self-starter with excellent analytical, written and verbal communications skills.
• Up to 50% travel required
• 1-5 years work experience in financial service industry preferred.
• Compliance experience a plus.
• College degree required
• Ability to work from home
We offer an excellent salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE
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Applicant Category: Professional
Requisition Code: Work at home
Two Initials of Recruiter: bw
System Date: 05/01/2008
System Time: 15:43:01
Document Name(40): Branch Examiner
Source: JobCentral - USA
SearchTerms: "work at home" "work from home"
URL(80): https://jobs-lpl.icims.com/lpl_jobs/jobs/candidate/job.jsp?jobid=4755&mode=view
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