09/29/2023
Position Summary As a Branch Examiner, Park Avenue Securities, and Park Avenue Investment Advisory, you will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. The Branch Examiner is responsible for developing a risk-based plan for the branch office inspection, executing the plan, and delivering the results verbally and in writing to various stakeholders. The Branch Examiner will also participate in additional projects and initiatives to improve the branch office program and compliance program as a whole. You are An enthusiastic, self-motivated, high-energy individual who enjoys working in a team environment while executing responsibilities independently. Your ability to multi-task but prioritize allows you to deliver high-quality results in a timely fashion. You have Broad knowledge of the financial services industry and...
Guardian
New York, NY, USA
Full Time