Remote Branch Examiner

Join our team as a Remote Branch Examiner, where you will conduct comprehensive virtual inspections across Wealth Management and Capital Markets divisions, ensuring compliance with FINRA and MSRB regulations. Lead discussions, summarise findings, and support training for examiners. Ideal for experienced professionals in banking compliance with strong knowledge of capital markets and regulatory requirements.

Skills

• branch inspections
• finra rules 3110
• finra rules 3120
• msrb rule g-27
• sec regulations
• capital markets
• wealth management
• compliance testing
• quality assurance
• internal audit
• surveillance
• risk management
• internal controls
• regulatory compliance management
• audit
• data gathering analysis
• decision making
• critical thinking
• strategic thinking
• interpersonal relationship management
• training delivery
• presentation skills
• industry knowledge