Branch Inspector - San Diego
1 month ago

Job summary
The Branch Inspector is essential to the firm's compliance framework, conducting on-site examinations of branch offices for both the Broker-Dealer and Registered Investment Adviser (RIA) entities. This role involves scheduling, preparing and completing inspections to ensure adherence to regulatory requirements and internal policies.The Branch Inspector provides guidance to branch staff and principals identifies escalates issues compiles audit findings into formal reports follows up on remediation efforts.
Job description
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