Essential Edge Compliance Outsourcing Services, LLC

Location: Fully Remote - Travel Required

Company Description

Essential Edge Compliance Outsourcing Services, LLC provides outsourced compliance services for broker-dealers, registered investment advisors, banks, and insurance companies. The company boasts a national network of professionals with an average of 20 years of experience and specialized skills to meet each client's needs. Essential Edge offers a wide range of services including remote and on-site branch exams, risk assessments, AML and CEO certification exams, and more.

Position Description

As a Branch Examiner, you’ll be responsible for conducting onsite in-depth branch inspections to ensure compliance with regulatory rules & regulations and identifying areas of risk within financial operations. You’ll play a key role in providing customer service to our clients and their reps while helping our clients maintain the highest standards of compliance. Travel required. Remote position. Position is for a full-time W2 employee.

Qualifications

• Experience in conducting branch exams
• Knowledge of FINRA, SEC, and State rules and regulations
• Strong attention to detail and analytical skills
• Excellent communication, organizational skills, and must be able to meet deadlines
• Ability to work well independently and as part of a team
• Relevant compliance certifications or licenses (e.g., Series 7, Series 24)
• Willing to travel to branch locations located around the United States
• Ability to work with multiple technology platforms
• Must be comfortable working on different client engagements simultaneously

To apply: Please send a resume to Jamie Schlag at jamie@eefirms.com.