This role is responsible for conducting independent on-site examinations of offices where registered Investment Adviser Representatives (IARs) perform advisory functions. This role involves a comprehensive review of books and records, computer systems, physical premises, and compliance procedures to ensure adherence to applicable regulations and firm policies. The Examiner will identify and address deficiencies, monitor corrective actions, and collaborate with branch office personnel to achieve full compliance.

Essential Duties and Responsibilities (includes but is not limited to):

• Conduct thorough on-site examinations of branch offices, including reviews of custody, portfolio management, cybersecurity, safeguarding of client information, marketing, Code of Ethics, and best execution practices among others.
• Analyze books and records, computer systems, and physical premises to identify compliance gaps and potential risks.
• Document examination findings in detailed reports and draft deficiency letters outlining corrective actions.
• Provide clear and concise instructions, both verbally and in writing, to branch office personnel regarding the resolution of identified deficiencies.
• Monitor remediation efforts to ensure full compliance with regulations and firm policies.
• Collaborate with IARs to foster a culture of compliance within branch offices.
• Plan and prepare for examinations, including scheduling, travel arrangements, and expense management.
• Stay current on relevant regulations, industry best practices, and examination methodologies.

Qualifications, Skills and Requirements:

• Excellent communication and presentation skills.
• Proven ability to collaborate effectively with internal teams to deliver exceptional service.
• Deep understanding of fiduciary governance principles.
• Entrepreneurial spirit and a collaborative approach to problem-solving.
• Self-motivated with a commitment to excellence and a high level of integrity.
• Proficiency with Microsoft Office Suite (Word, Excel, and PowerPoint).
• Demonstrated discipline maintaining operational details in a centralized location and reporting on status.
• Proven success with multi-tasking and managing priorities effectively.
• Ability to adapt to a rapidly changing business and technology environment.
• Continual learner mentality, able to adopt new solutions and interpret the impact of new laws for prospective clients.
• Must be able to maintain confidentiality of highly sensitive client information, including personnel and financial data.
• Regular and predictable attendance is required.
• Business travel up to 75%.

Education, Training and Experience:

• Bachelor's degree in Business, Economics, Finance, or a related field (preferred).
• 3+ years of experience in securities Compliance.

Other:

This job description should not be construed to imply that these requirements are the exclusive standards of the position.  Incumbents will follow any other instructions and perform any related duties as required.  Reasonable accommodation will be provided for qualified individuals with disabilities. The employer has the right to revise this job description at any time.  The job description is not to be construed as a contract for employment.