- Experience
- 3+ yrs
- Salary
- USD 65,000 – USD 75,000 / year
- Openings
- 1
- Posted
- 3 weeks ago
- Work mode
- Work from home
- Education
- High school diploma required; college degree strongly preferred
- Eligibility
- <ul><li>Individuals with at least 3 years of experience in the Financial Services industry, particularly in compliance or branch exams.</li><li>Candidates possessing a FINRA Series 7 license.</li><li>Individuals willing to obtain a FINRA Series 24 license within 90 days of employment if not already…
- Resume
- Required to apply
Job description
About Corebridge Financial
At Corebridge Financial, we are driven by the belief that proactive action is paramount. We collaborate with financial professionals and institutions daily to empower more individuals to take control of their financial futures, both for the present and the long term. Our culture is shaped by core values that guide our actions and bring our brand purpose to life: fostering collaboration and decisive action for our customers, delivering on commitments with accountability, continuously learning and innovating by challenging the status quo, and embracing inclusivity by valuing diverse perspectives.
About the Legal Team
The Legal team at Corebridge Financial provides essential advice and counsel to our business and functional units. Our legal professionals work to mitigate legal risks, ensure adherence to local laws and regulations in all operating regions, and contribute to the development of innovative insurance products and deals.
About the Role
The Branch Office Examiner plays a crucial role in ensuring compliance within our network. This position involves conducting a significant volume of comprehensive examinations annually, requiring independent travel to various branch locations. The examiner will be responsible for preparing for each assessment through thorough research and analysis, communicating expectations with branch management, and presenting findings. A key aspect of the role includes educating OSJ Managers, Financial Advisors, and support staff on industry regulations, firm policies, and supervisory procedures. The examiner will also contribute to training new team members and performing ad-hoc examinations as needed. Maintaining accurate records and submitting expense reports promptly are also integral parts of the position.
Skills & Qualifications
Candidates should possess a strong background in the financial services industry, with at least three years of experience, preferably in compliance or branch examinations. A deep understanding of the retail brokerage and investment advisory businesses, along with common investment products like mutual funds, variable annuities, stocks, and bonds, is essential. Possession of FINRA Series 7 is mandatory, and FINRA Series 24 is highly preferred or must be obtained within 90 days of employment. Excellent verbal and written communication skills are required, as is proficiency in Microsoft Office Suite (Word, PowerPoint, Excel, OneDrive). Experience with Smarsh and RegEd is advantageous. While a high school diploma is required, a college degree is strongly preferred. The ideal candidate will be highly detail-oriented, possess strong investigative abilities, work autonomously, and be adept at delivering difficult feedback professionally. The role requires the ability to travel extensively throughout the United States, often carrying necessary equipment.
Compensation and Benefits
The anticipated base salary for this position ranges from $65,000 to $75,000 annually, dependent on factors such as location, skills, and experience. Eligibility for a discretionary bonus may also apply. Corebridge Financial offers a comprehensive benefits package designed to support employee well-being and work-life balance. This includes health, dental, and vision insurance, mental health support, retirement savings plans with generous company matching, an employee assistance program, matching charitable donations, paid volunteer time off, and a minimum of 24 paid time off days annually.
Work Location and Travel
This position is designated as remote, with an estimated travel requirement of up to 50% to visit branch offices across the United States.
Additional Information
Corebridge Financial is an Equal Opportunity Employer committed to diversity and inclusion. We consider all qualified applicants without regard to race, color, religion, sex, gender, sexual orientation, national origin, disability, age, veteran status, or any other protected characteristic. We are committed to providing reasonable accommodations for individuals with disabilities or sincerely held religious beliefs. Qualified applicants with criminal histories will be considered in accordance with applicable law. For more information, please visit www.corebridgefinancial.com.