A financial services and brokerage firmHiring

Senior Branch Office Examiner

  • USD 80,000 to 85,000 per year
  • Remote, United States
  • Full-time
  • Senior
  • Posted 2 weeks ago
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In one line

Compliance role inspecting branch offices of a broker-dealer, mostly remote with some travel; full-time in the United States.

About the role

Exams check that branches follow securities rules and firm policy, and findings go to branch managers and compliance. The work is independent and detail heavy, with junior staff to mentor.

At a glance

Pay
USD 80,000 to 85,000 per year
Remote scope
Remote, United States
Seniority
Senior
Employment
Full-time
Skills
FINRA Series 7, Compliance, Branch exams, Mutual funds, Variable annuities, Excel
Posted
14 Oct 2026
Last checked
28 Oct 2026

What you will do

  • Run roughly 100 to 120 branch exams a year, onsite or remotely
  • Schedule exams with branch managers and prepare by pulling and analyzing reports
  • Review findings with managers and send reports to supervision and compliance promptly
  • Explain industry rules and firm policy during exams and mentor junior examiners

What they look for

  • At least five years in compliance or branch exams
  • FINRA Series 7 and Series 24 licenses
  • Familiarity with retail brokerage, fee-based advisory business and products like mutual funds, annuities and bonds
  • Comfort with Windows and MS Office, and the ability to read FINRA and sales practice manuals

Nice to have

  • Experience at an independent broker-dealer
  • FINRA Series 66

Benefits

  • Health, vision and dental insurance, 401k, paid time off and volunteer days

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Questions about this job

Can I do this job remotely, and from which countries?

Yes. The posting lists Senior Branch Office Examiner as a remote role for candidates in the United States.

What does this job pay?

The posting states USD 80,000 to 85,000 per year.

What experience is needed?

It is a senior role. The posting asks for: at least five years in compliance or branch exams; FINRA Series 7 and Series 24 licenses; familiarity with retail brokerage, fee-based advisory business and products like mutual funds, annuities and bonds. Skills it names include FINRA Series 7, Compliance, Branch exams, Mutual funds.

How do I apply with Keywordise AI?

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