Branch Examiner

Hybrid in Jersey City, NJ, US • Posted 10 days ago • Updated 10 days ago

Contract W2

Contract Independent

No Travel Required

Remote

$42 - $48/hr

Finance Professionals Inc.

Fitment

Dice Job Match Score™

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Job Details

Skills

Knowledge of FINRA (particularly Rule 3110)

Summary

Key Responsibilities

Conduct remote phone inspections (15–30 min) with non-branch locations, mainly registered representatives’ homes
Oversee and review work from offshore examiners (team in Malaysia)
May assist with on-site branch inspections as needed
Summarize findings in written reports, escalate red flags/issues
Contribute to program enhancements and support other team projects as needed

Required Skills / Background

Strong communication skills, able to speak with senior personnel and follow inspection scripts
Experience in:
- Branch inspections, compliance testing, monitoring, QA, internal audit (any of these)
- FINRA Rule 3110 and internal inspections
Proficient in Microsoft Office (Excel advanced, Word, Outlook, Adobe)
Background in Wealth Management or Capital Markets helpful
Phone interview experience is a must

Nice-to-Have

FINRA registrations (Series 7, 24, etc.)

Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.

Dice Id: 91140136
Position Id: 8920088
Posted 10 days ago

Company Info

About Finance Professionals Inc.

We are a specialist FinTech and Financial Services recruitment consultancy. We have been helping clients attract, hire and retain staff across all areas from technology to finance. By being specialists in our sectors, we are able to use our deep and active network of professionals to quickly match the best people with great permanent and contract job opportunities.

We deliberately work on a small number of assignments allowing us the time to deeply search for talent for your business. By partnering with an excellent client base including Banks, Financial Services Firms, FinTech companies at various stages and established multinationals, we are able to present compelling career opportunities to industry professionals.

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