What are the responsibilities and job description for the B-D RIA Branch Examiner position at GWN Securities, Inc.?
Join Our Team at GWN Securities!
Role: Entry-Level FINRA Broker/Dealer Branch Examiner
About the Position:
Launch your career in financial compliance as an Entry-Level FINRA Broker/Dealer Branch Examiner with GWN Securities. Conduct onsite and remote examinations of broker/dealer branch offices to ensure compliance with FINRA and SEC regulations and internal firm policies. This role provides extensive training, mentorship, and opportunities for professional growth.
What You'll Do:
- Perform audits and examinations to ensure regulatory compliance.
- Analyze client files, trading records, and communications.
- Document and report examination findings.
- Identify and escalate compliance risks.
- Assist senior compliance staff in investigations.
What You Bring:
- High school diploma or equivalent.
- Understanding of financial markets and regulatory compliance.
- Strong analytical, organizational, and communication skills.
- Ability and willingness to travel extensively.
Bonus Points:
- Bachelor's degree (Finance, Accounting, Economics, or related field).
- Internship or prior experience in financial services or compliance.
- Familiarity with securities laws and regulations.
- Interest in obtaining FINRA certifications (Series 7, 24, etc.).
Location: Full-time, 5-day in-office position with frequent travel.
Why GWN Securities?
- Comprehensive compliance training and professional development.
- Collaborative environment with mentorship from seasoned professionals.
- Salary and excellent benefits.
Equal Opportunity Employer: GWN Securities is committed to diversity, equity, and inclusion.