We are accepting resumes from examiners to conduct broker-dealer and investment-advisor
examination projects focused on compliance with FINRA, state, and SEC rules and regulations.
The types of testing and examinations include the following:
For Broker-Dealers
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AML Examinations (FINRA Rule 3310)
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Branch/OSJ Examinations (NASD Rule 3010)
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Supervisory Controls Testing (NASD Rule 3012)
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Mock FINRA Examinations
For Registered Investment Advisors
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Annual Policies and Procedures Testing (SEC Rule 206(4)-7)
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Mock SEC Examinations
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Mock State Examinations
Responsibilities:
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Use the firms internal examination program and maintain detailed workpapers per internal instructions;
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Stay abreast of FINRA and SEC rules and changes;
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Assist the Manager of Examination Programs to develop and enhance the examination programs;
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Plan and organize priorities while maintaining the highest level of service possible to clients, and managing projects and goals within deadlines;
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Attend conferences and meetings as requested;
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Travel required. Amount of travel will vary depending on firm’s needs and examiner’s experience. Candidate should possess valid driver’s license and a personal vehicle;
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Perform other related duties as assigned.
Skills/Abilities:
Understanding of Investment Firm Operations: Understanding of back office broker-dealer or RIA operations. Must be able
to demonstrate knowledge of operations, policies, procedures and securities laws and regulations under which the investment firm operates;
Effective Oral and Written Communication: Conducting onsite examinations requires the ability to verbally communicate with firm
associates in an effective and professional manner. Results of testing and examinations must be written in a well developed and precise format;
Interpersonal Skills: Our firm takes pride in building strong relationships with our clients. This in turn has assisted us in obtaining
referrals and growing our firm. We are looking for someone with a positive and professional attitude who can help maintain this culture at our firm;
Time Management: During examinations, there may be a time crunch to get the work done by a specific deadline;
Detail Oriented: A large portion of these examinations requires the review of various books and records. Being detailed oriented and able
to detect issues and rule violations is critical;
Independence: Ability to be self motivated and work in a location with little or no onsite supervision;
Ongoing Learning: Willingness to learn new programs and processes and increase your compliance and industry knowledge;
Adaptiveness: Willing to adjust with the firm as we grow and processes and systems change.
Experience:
Required: At least 3 years broker-dealer and/or investment advisor examination experience.
Preferred: Experience working with smaller broker-dealers and investment advisory firms is a plus.
Education/Training:
Degree: Bachelors Degree preferred.
Licenses: None required, however; the Series 7, 24 and/or 27 would be a plus.
Certifications: None required, however; the CRCP, CFSA, and/or CAMS certification would be a plus.
Send your resumé to us.
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