Branch Office Examiner, Compliance

Job not on LinkedIn

🕒 June 10

🏈 Alabama, Alaska, +42 more states – Remote

🏈 Alabama – Remote 🐻 Alaska – Remote 🌵 Arizona – Remote 🏄 California – Remote ⛰️ Colorado – Remote 🦌 Connecticut – Remote 🐊 Florida – Remote 🥔 Idaho – Remote 🌽 Illinois – Remote 🌾 Iowa – Remote 🌪️ Kansas – Remote 🐎 Kentucky – Remote ⚜️ Louisiana – Remote 🦞 Maine – Remote 🦬 Montana – Remote 🌾 Nebraska – Remote 🎰 Nevada – Remote 🗻 New Hampshire – Remote 🏖️ New Jersey – Remote 🌶️ New Mexico – Remote 🗽 New York – Remote 🌾 North Dakota – Remote 🏈 Ohio – Remote 🌪️ Oklahoma – Remote 🌲 Oregon – Remote 🦀 Maryland – Remote 🍂 Massachusetts – Remote 🚗 Michigan – Remote ❄️ Minnesota – Remote 🎸 Mississippi – Remote 🏰 Missouri – Remote 🔔 Pennsylvania – Remote ⚓ Rhode Island – Remote 🌴 South Carolina – Remote 🗿 South Dakota – Remote 🎸 Tennessee – Remote 🤠 Texas – Remote ⛷️ Utah – Remote 🍁 Vermont – Remote ⚔️ Virginia – Remote ☕ Washington – Remote ⛰️ West Virginia – Remote 🧀 Wisconsin – Remote 🦬 Wyoming – Remote

💵 $65k - $75k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

👻 Ghost score 11%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

Apply Now

Find Similar Remote Jobs

Set Up Email Alert For New Jobs

📊 Check your resume score for this job

Improve your chances of getting an interview by checking your resume score before you apply.

Upload Resume

AIG

WebsiteLinkedInAll Job Openings

10,000+ employees

Founded 1919

💸 Finance

🛡️ Insurance

🤝 B2B

Finance • Insurance • B2B

AIG is a leading global insurance organization with operations in more than 80 countries and jurisdictions. The company offers a wide range of insurance products, including general property and casualty insurance, life insurance, retirement solutions, and other financial services. Catering to individuals, families, businesses, and brokers, AIG specializes in providing innovative insurance solutions and risk management products. The company is known for its comprehensive claims support and multinational expertise, helping clients protect their most valuable assets and manage emerging risks effectively.

📋 Description

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

🎯 Requirements

• 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 required • FINRA Series 24 strongly preferred or must be obtained within 90 days of employment; two testing opportunities 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 • Extremely detail-oriented, investigative, and able to work independently • Ability to deliver negative results in a professional manner • Ability to travel via automobile, train, and/or airplane to visit branch offices throughout the United States • Ability to travel in business attire throughout the year • Ability to carry luggage, a briefcase, a company-furnished cell phone, and a company-furnished laptop

🏖️ Benefits

• Discretionary bonus in accordance with the applicable incentive plan • Medical, dental and vision insurance plans • Mental health support and wellness initiatives • U.S. 401(k) Plan with dollar-for-dollar Company matching contribution of up to 6% of eligible pay • Company contribution equal to 3% of eligible pay to the 401(k) Plan • Immediate vesting of Company retirement contributions • Confidential counseling services through the Employee Assistance Program • Matching charitable donations 1:1, up to $5,000 • Up to 16 volunteer hours annually • At least 24 Paid Time Off (PTO) days • Remote work designation