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Branch Office Examiner

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Securian FinancialSt Paul, MN
  • Securian Financial Groups internal position title is Compliance Sr AnalystPosition Summary:Branch Office Examiners will visit Securian Financial Services ("SFS") field offices to ensure our advisors are compliant with relevant policies and procedures.
  • Utilize their knowledge of relevant regulations (i.e., FINRA, SEC, MSRB, and state) and company policies and procedures in order to help address supervisory issues and discrepancies as necessary to assure compliance with applicable regulations.
  • Utilize knowledge of products and services distributed by the SFS field force.
  • This knowledge will help the Branch Office Examiner serve as a resource to answer compliance questions and provide best practices regarding issues that are identified during the course of an audit.
  • Perform thorough review of advisor and office working and official files.
  • Branch Office Examiners will also conduct a physical inspection of advisor office space and computers.
  • Branch Office Examiners must clearly articulate deficiencies and potential solutions to audited individuals and management personnel.
  • Responsible for completing various other compliance tasks.
  • This include creating and updating various annual requirements for SFS registered representatives, assisting with annual check blotter review, and conducting CEO Certification and IA Annual Review Testing.
  • Perform and document compliance testing of adherence to firm policies and procedures relating to advisor and broker-dealer activities
  • Complete detailed testing of policies, procedures and processes using test work-papers and other tools to compare sample date with related requirements.
  • Assume responsibility for planning, scoping and developing test plans using resources effectively to complete assignments with time goals.
  • Make appropriate recommendations and risk ratings of issues and findings during the test process.
  • Possess an inquisitive and analytical mind to conduct thorough inspection of assigned offices.
  • Possess good communication skills to articulate issues and educate financial professionals and staff regarding compliance procedures and best practices.
  • Be able to travel 30-40% of the time between March 1st and October 31st to conduct branch office inspections across the country.
  • Strong organization skills to manage individual workload while ensuring team produces consistent and timely audits.
  • Ability to learn and adapt to new technologies to perform compliance oversight functions.
  • Strong critical thinking and decision making and problem solving abilities to find solutions for issues which may arise while performing duties.
  • Must have 7, 24, and 66 (or 63/65).
  • If you don't have these we will provide 6 months to get 7 and 24 and an additional 3 months for 66 (or 63/65).
  • Knowledge of Microsoft applications, e.g., Outlook, Access, Word, and Excel.
  • Knowledge of SFS policies and procedures and back office units.
  • Series 7 and 24 FINRA registrations.
  • Ability to work at least 40 hours per week
  • Ability to meet the physical demands of travel - comprises up to 30-40% of your time.
  • Ability to utilize keyboard, mouse and computer for up to 3-6 hours per day
  • Ability to utilize telephone for approximately 1-3 hours per day
  • Ability to perform simple grasping including handwriting, paper manipulation, sorting, folding, etc.
  • periodically throughout entire workdayThe physical job requirements described above are representative of those that must be met by an employee to successfully perform the essential functions of this job.
  • Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
  • Securian Financial has been around for 140 years.
  • We're committed to giving back to our community, donating 15,000 employee volunteer hours this past year.
  • We also provide extensive resources to our employees for professional development and growth and a number of diverse professional and social opportunities throughout the company.
  • There's a reason our employees have voted us as a best place to work year after year!
  • Generous paid time off.
  • We want you to take time off for whatever matters most to you!
  • Tuition reimbursement program.
  • We value continuous learning at Securian!
  • Company-funded pension plan as well as 401K retirement plan - great resources to secure your financial future.
  • Continuous opportunities for new challenges.
  • Variety of health plan options as well as dental and vision plans.
  • Paid maternity/paternity leaves.
  • Securian Financial Group, Inc. does not discriminate based on race, color, creed, religion, national origin, sex, gender identity, sexual orientation, age, marital or familial status, pregnancy, disability, genetic information, political affiliation, veteran status, status in regard to public assistance, status in a local human rights commission, or any other status or condition protected by local, state or federal law.
  • If you are a job seeker with a disability and require an accommodation to apply for one of our jobs, please contact us by telephone 651
  • voice), 711 (telecommunications relay), or by email at
  • securian.com. To view our privacy statement click hereTo view our legal statement click here
  • Associated topics: broker, commission, insurance agent, life insurance agent, phone, retail, sales, sales agent, sales position, sell

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