MSWM Compliance Branch Examiner

Position Description

Responsible for conducting a retail branch office inspection program that tests certain sales practice, operational and supervisory procedures. The process includes:
a physical inspection of the branch;
a review of various reports and other documents maintained at the branch;
interviews with Financial Advisors, Investment Representatives, branch management and support personnel; and
a meeting with branch management to provide a draft inspection report and discuss the preliminary findings. This process will determine whether a branch office is in compliance with certain regulatory and Firm policies and procedures, and to bring any areas of concern to the attention of branch and senior management.

This position can be based in Baltimore, Chicago or New York City.

Skills Required

Previous experience in Financial Services preferably in a retail branch office
Detail oriented
Strong organizational skills
Strong communications skills
Ability to work independently

Skills Desired

Comfortable with learning and using software applications

May 29, 2013 • Tags: , • Posted in: Financial

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