Are you the type of person that cares business is done right? Do you want to protect investors and the integrity of the financial system? Do you have the skills to analyze data, perform in-person office inspections, identify red flags, and communicate your findings in a precise and impactful manner?

We're looking for someone who can:
• Review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures
• Communicate with branch managers and sales support personnel regarding office procedures and financial advisor activity in a high pressure environment
• Prepare detailed work papers to support the results of the testing program
• Synthesize the result of the testing program for communication to senior management
• Maintain a working knowledge of current FINRA, SEC and state regulatory issues, as well as the company's own written supervisory procedures
• Productively work from home full time and pro-actively communicate with colleagues located around the country
• Travel for work on regular basis (approximately 40% travel primarily throughout New England and the Eastern US)