[Remote] Branch Examiner, WM Compliance

Note: The job is a remote job and is open to candidates in USA. E*TRADE from Morgan Stanley is a global leader in financial services, and they are seeking a Branch Examiner in WM Compliance to perform independent oversight and execution of risk-based branch examinations across retail locations. The role involves conducting onsite inspections, evaluating compliance, and collaborating with management to address business risks and policy violations.


Responsibilities

  • Perform pre-exam testing by analyzing risk assessments, establishing sample selection criteria, testing selected samples per departmental procedures and reviewing relevant documentation
  • Conduct onsite branch inspections, review electronic and physical reports and documents, and interview financial advisors, support staff and branch management
  • Leverage your expertise and judgment to evaluate testing results and assess the adequacy and effectiveness of the branches control environment
  • Hold meetings with branch management to discuss preliminary findings, identify root causes of noted issues, and obtain formal responses to exam results
  • Collaborate with local management and key personnel to address identified business risks and policy violations and develop comprehensive corrective action plans to facilitate the timely remediation of identified issues
  • Collaborate with branch examination management to assess whether a branch office complies with regulatory requirements and Firm policies and procedures
  • Oversee multiple examinations and projects concurrently
  • Maintain up-to-date knowledge of industry and regulatory changes

Skills

  • Knowledge of the Financial Services Industry
  • Prior examination or testing experience a plus
  • Team-oriented with the ability to interact with diverse remote teams, branch staff and management
  • Strong communication, detail oriented, analytical, critical thinking and organizational skills
  • Objectivity with the skill to make independent decisions associated with Compliance testing procedures
  • Enthusiastic, disciplined and self-motivated
  • Ethical standards, sound judgment and integrity
  • Domestic travel approximately 30 to 40% required
  • 3+ years Financial Services Industry Experience
  • FINRA licenses a plus

Benefits

  • Medical
  • Prescription Drug
  • Dental
  • Vision
  • Health Savings Account
  • Dependent Day Care Savings Account
  • Life Insurance
  • Disability and Other Insurance Plans
  • Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and 20 Vacation Days annually)
  • 10 Paid Holidays
  • 401(k)
  • Short/Long Term Disability

Company Overview

  • E*TRADE from Morgan Stanley is a pioneer in the online brokerage industry. It was founded in 1982, and is headquartered in Arlington, Virginia, USA, with a workforce of 1001-5000 employees. Its website is https://us.etrade.com/home.

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