Branch Office Examiner, Compliance

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🕒 Junho 10

🌵 Arizona, Texas, +4 estados a mais – Remoto

🌵 Arizona – Remote 🤠 Texas – Remote ⚔️ Virginia – Remote ⛰️ West Virginia – Remote 🧀 Wisconsin – Remote 🦬 Wyoming – Remote

💵 $65.000 - $75.000 / ano

⏰ Tempo Integral

🟡 Pleno

🟠 Sênior

🚔 Conformidade

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AIG

SiteLinkedInTodas as Vagas

10.000+ funcionários

Fundada em 1919

💸 Finanças

🤝 B2B

Finance • Insurance • B2B

A AIG é uma organização líder global em seguros, com operações em mais de 80 países e jurisdições. A empresa oferece uma ampla gama de produtos de seguros, incluindo seguros gerais de propriedade e acidentes, seguros de vida, soluções de aposentadoria e outros serviços financeiros. Atendendo a indivíduos, famílias, empresas e corretores, a AIG se especializa em fornecer soluções inovadoras de seguros e produtos de gerenciamento de riscos. A empresa é conhecida por seu suporte abrangente a sinistros e pela expertise multinacional, ajudando os clientes a proteger seus ativos mais valiosos e a gerenciar riscos emergentes de forma eficaz.

Descrição

• Conduct approximately 75-125 comprehensive examinations per year. • Travel independently up to 50% of the time. • Schedule and discuss exam expectations with the branch management. • Prepare for each exam by generating and analyzing various reports and conducting comprehensive pre-examination research. • Review exam findings with branch management. • Draft and issue high quality examination reports in a timely manner. • Educate OSJ Managers, Financial Advisors and support staff on various industry rules, regulations and firm policies during the exam. • Interpret the Written Supervisory Procedures, FINRA manual, Compliance notices and other publications concerning broker/dealer regulation. • Assist in the training of new examiners and field management as needed. • Perform for-cause exams as needed. • Present to multiple parties, including field management and upper management as needed. • Submit expense reports in a timely manner. • Archive documentation and supporting paperwork upon conclusion of examinations.

🎯 Requisitos

• 3+ years Financial Services industry experience - Compliance or Branch Exams experience preferred. • Detailed knowledge of the retail brokerage business, investment advisory business, and common investment products - including mutual funds, variable annuities, stocks, and bonds. • FINRA Series 7 is required. • FINRA Series 24 license is strongly preferred or must be obtained within 90 days of employment. • Two testing opportunities will be allowed. • Strong verbal and written communications skills required. • Proficiency in MS Office, including Word, PowerPoint, Excel and OneDrive. • Proficiency in Smarsh and RegEd preferred. • High school diploma required; college degree strongly preferred. • Must be extremely detail-oriented, investigative and can work independently. • Must be able to deliver negative results in a professional manner. • Must have the ability to: Travel via automobile, train, and/or airplane to visit branch offices throughout the United States in business attire throughout the year; carry luggage, a briefcase, company furnished cell phone and company furnished laptop.

🏖️ Benefícios

• Health and Wellness: We offer a range of medical, dental and vision insurance plans, as well as mental health support and wellness initiatives to promote overall well-being. • Retirement Savings: We offer retirement benefits options, which vary by location. In the U.S., our competitive 401(k) Plan offers a generous dollar-for-dollar Company matching contribution of up to 6% of eligible pay and a Company contribution equal to 3% of eligible pay (subject to annual IRS limits and Plan terms). These Company contributions vest immediately. • Employee Assistance Program: Confidential counseling services and resources are available to all employees. • Matching charitable donations: Corebridge matches donations to tax-exempt organizations 1:1, up to $5,000. • Volunteer Time Off: Employees may use up to 16 volunteer hours annually to support activities that enhance and serve communities where employees live and work. • Paid Time Off: Eligible employees start off with at least 24 Paid Time Off (PTO) days so they can take time off for themselves and their families when they need it.