{"schemaVersion":"jobsearcher.job.v1","id":"0ec7508b362bd3a7b0cc4e63","url":"https://jobsearcher.com/jobs/0ec7508b362bd3a7b0cc4e63","canonicalUrl":"https://jobsearcher.com/jobs/0ec7508b362bd3a7b0cc4e63","title":"Associate Director, Branch Inspection Program","description":"How will this role impact First Command?\nThe Associate Director, Branch Inspection Program, is responsible for the strategic oversight, execution, and continuous enhancement of First Command’s Inspection Program to ensure compliance with Federal, State, SEC, and FINRA regulatory requirements, as well as the firm supervisory procedures.\nThis role expands beyond program execution to include leadership, talent development, and quality assurance oversight ensuring the program is scalable, risk aligned, and exam ready. The Associate Director partners with Compliance Leadership to establish inspection strategy and drive consistency.\n\nWhat will the employee do in this role?\nOwn and lead the design, execution, and continuous enhancement of the firm’s risk-based inspection program, including annual risk assessment and inspection frequency determination\nProvide strategic direction for targeted inspections based on emerging regulatory or internal risk trends\nDefine roles, responsibilities, and career progression pathways across the inspection team.\nBuild and oversee the inspection team structure\nPerform second-level review of inspection findings and ensure appropriate risk classification and remediation tracking.\nEstablish and own a formal Quality Control framework for inspection outputs, including review protocols, calibration standards, and consistency reviews across examiners.\nOversee enhancements to inspection tools (e.g., AuditTrax) to improve data integrity and reporting consistency.\nProvide regulatory and compliance advice to the business and field force on an ongoing basis.\nSupport regulatory exams, internal audit reviews, and related inquiries.\nOversee the scheduling, execution, and completion of branch, OSJ, and advisor inspections across broker-dealer and advisory business lines\nEnsure inspection reports clearly articulate findings, regulatory risk, and required corrective actions\nPrepare, schedule and conduct financial advisor inspections in relation to First Command broker-dealer and investment advisory business to ensure compliance with applicable industry rules, firm supervisory procedures and company policies.\nReview inspection findings to identify potential supervisory failures, policy violations, or misconduct\nRecommend disciplinary actions and corrective measures in coordination with Compliance Leadership\nConduct targeted inspections due to industry or company compliance trends.\nPromote a consistent culture of compliance across field locations\nFacilitate department internal investigations based on findings or noted areas of concern.\nIdentify and communicate emerging risks and trends to Compliance Leadership.\nParticipate in managing compliance inspections conducted by outside regulators.\nParticipate in the development and revision of compliance policies and procedures\nDevelop and deliver structured training programs for inspection staff and field personnel.\nProvide field intelligence to the Compliance Leadership for possible red-flags or risks to the firm.\nServe as a liaison between the Compliance Department and the field force.\nAssist with other duties as assigned.\nWhat roles will this employee lead?\nThe inspection team (including potential Leads, Senior Examiners, Examiners, and QC) will report directly to this role\nWhat skills & qualifications do you need?\nEducation\nA bachelor's degree is required.\nWork Experience\n8+ years of experience in financial services compliance\n3-5 years of leadership experience overseeing a team within a compliance, audit, or inspection function.\nPrevious experience as a field examiner in the securities industry preferred.\nCertifications\nFINRA Series 7 and Series 24 required\n\nRequired Knowledge, Skills, and Abilities\nAbility to travel to field office locations\nThoroughly familiar with FINRA, SEC and State specific rules and regulations for Investment Advisors and Broker-Dealers.\nThoroughly familiar with insurance and investment products\nExcellent verbal and written communication skills.\nAbility to analytically assess the significance of findings and pursue them to their logical conclusion.\nAbility to work independently with minimal supervision.\n\n#LI-NC1 #LI-HYBRID","company":"Firstcommandfinancialservices","rawCompany":"firstcommandfinancialservices","city":"Fort Worth","state":"TX","isRemote":false,"isActive":false,"createdAt":"2026-08-09T15:05:03.963Z","occupations":[{"code":"11-9199.02","title":"Compliance Managers","slug":"compliance-managers"},{"code":"13-1041.00","title":"Compliance Officers","slug":"compliance-officers"},{"code":"13-2061.00","title":"Financial Examiners","slug":"financial-examiners"}],"industries":[{"code":"926150","title":"Regulation, Licensing, and Inspection of Miscellaneous Commercial Sectors","slug":"regulation-licensing-and-inspection-of-miscellaneous-commercial-sectors"},{"code":"523150","title":"Investment Banking and Securities Intermediation","slug":"investment-banking-and-securities-intermediation"},{"code":"541350","title":"Building Inspection Services","slug":"building-inspection-services"}],"jobPosting":{"@context":"https://schema.org","@type":"JobPosting","title":"Associate Director, Branch Inspection Program","description":"How will this role impact First Command?\nThe Associate Director, Branch Inspection Program, is responsible for the strategic oversight, execution, and continuous enhancement of First Command’s Inspection Program to ensure compliance with Federal, State, SEC, and FINRA regulatory requirements, as well as the firm supervisory procedures.\nThis role expands beyond program execution to include leadership, talent development, and quality assurance oversight ensuring the program is scalable, risk aligned, and exam ready. The Associate Director partners with Compliance Leadership to establish inspection strategy and drive consistency.\n\nWhat will the employee do in this role?\nOwn and lead the design, execution, and continuous enhancement of the firm’s risk-based inspection program, including annual risk assessment and inspection frequency determination\nProvide strategic direction for targeted inspections based on emerging regulatory or internal risk trends\nDefine roles, responsibilities, and career progression pathways across the inspection team.\nBuild and oversee the inspection team structure\nPerform second-level review of inspection findings and ensure appropriate risk classification and remediation tracking.\nEstablish and own a formal Quality Control framework for inspection outputs, including review protocols, calibration standards, and consistency reviews across examiners.\nOversee enhancements to inspection tools (e.g., AuditTrax) to improve data integrity and reporting consistency.\nProvide regulatory and compliance advice to the business and field force on an ongoing basis.\nSupport regulatory exams, internal audit reviews, and related inquiries.\nOversee the scheduling, execution, and completion of branch, OSJ, and advisor inspections across broker-dealer and advisory business lines\nEnsure inspection reports clearly articulate findings, regulatory risk, and required corrective actions\nPrepare, schedule and conduct financial advisor inspections in relation to First Command broker-dealer and investment advisory business to ensure compliance with applicable industry rules, firm supervisory procedures and company policies.\nReview inspection findings to identify potential supervisory failures, policy violations, or misconduct\nRecommend disciplinary actions and corrective measures in coordination with Compliance Leadership\nConduct targeted inspections due to industry or company compliance trends.\nPromote a consistent culture of compliance across field locations\nFacilitate department internal investigations based on findings or noted areas of concern.\nIdentify and communicate emerging risks and trends to Compliance Leadership.\nParticipate in managing compliance inspections conducted by outside regulators.\nParticipate in the development and revision of compliance policies and procedures\nDevelop and deliver structured training programs for inspection staff and field personnel.\nProvide field intelligence to the Compliance Leadership for possible red-flags or risks to the firm.\nServe as a liaison between the Compliance Department and the field force.\nAssist with other duties as assigned.\nWhat roles will this employee lead?\nThe inspection team (including potential Leads, Senior Examiners, Examiners, and QC) will report directly to this role\nWhat skills & qualifications do you need?\nEducation\nA bachelor's degree is required.\nWork Experience\n8+ years of experience in financial services compliance\n3-5 years of leadership experience overseeing a team within a compliance, audit, or inspection function.\nPrevious experience as a field examiner in the securities industry preferred.\nCertifications\nFINRA Series 7 and Series 24 required\n\nRequired Knowledge, Skills, and Abilities\nAbility to travel to field office locations\nThoroughly familiar with FINRA, SEC and State specific rules and regulations for Investment Advisors and Broker-Dealers.\nThoroughly familiar with insurance and investment products\nExcellent verbal and written communication skills.\nAbility to analytically assess the significance of findings and pursue them to their logical conclusion.\nAbility to work independently with minimal supervision.\n\n#LI-NC1 #LI-HYBRID","datePosted":"2026-08-09T15:05:03.963Z","dateModified":"2026-08-09T15:05:03.963Z","hiringOrganization":{"@type":"Organization","name":"Firstcommandfinancialservices","sameAs":"https://jobsearcher.com"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Fort Worth","addressRegion":"TX","addressCountry":"US"}},"identifier":{"@type":"PropertyValue","name":"JobSearcher","value":"0ec7508b362bd3a7b0cc4e63"},"url":"https://jobsearcher.com/jobs/0ec7508b362bd3a7b0cc4e63"}}