Branch Office Examiner (PCK333-242717) Atlanta, Georgia
Branch Office Examiner
Picture yourself building a successful career at American General working alongside other talented, highly motivated individuals committed to reaching our goal of becoming our industry’s employer of choice. We believe that our success depends on a world class team with diverse and unequaled expertise. If you would like to be part of a strategic organization where there are no limits, we invite you to consider putting your talents to work in the Branch Office Examination team!
In this dynamic and highly visible role, you will be showcasing your expertise in the branch examination process. You will be investigating and analyzing the branch processes and procedures in an effort to identify and recognize complex compliance issues while assisting in interpretation of new laws, regulations and Firm policy.
This position will report to the Manager of the Branch Office Examinations in our Atlanta Office.
• Investigate and analyze 100 plus exams per year from inception to close.
• Schedule and discuss exam expectations with the OSJ and Satellite branches.
• Prepare exam by generating and analyzing various reports.
• Review exam findings with OSJ and Satellite Branch Mangers.
• Send exam reports to OSJ and Satellite Branch Managers, Supervision and Compliance departments in a timely manner.
• Educate OSJ Managers, Financial Advisors and support staff on various industry rules, regulations, and firm policies during the exam.
• Identify and share best practices with OSJ Managers regarding supervisory systems during the exam.
• Assist in the training of new examiners.
• Perform For Cause exams as needed.
The Ideal Candidate should have:
• 3+ years experience in Compliance or Branch Exams.
• Knowledge of the retail brokerage business, fee based advisory business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.
• Experience with Independent Broker-Dealers a plus.
• Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation.
• 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 and a company furnished personal computer; Navigate unfamiliar airports, hotels, rental car agencies, highways, metropolitan and rural areas; often after business hours.
• Strong verbal and written communications skills required.
• Must be detail-oriented, investigative and have the ability to work independently.
• Proficiency in MS Office; knowledge of Vision2020, Sunguard, NetX360, and Streetscape a plus.
• FINRA series 7, 24 and 65/66 licenses are required. FINRA series 7 is a prerequisite for consideration. Series 24 and 65/66 licenses must be obtained within 90 days of employment. Two testing opportunities will be allowed per license.
• Bachelor’s degree required