Field Office Examiner
Investors Capital Corporation is looking for a compliance field office examiner to join our in-house field inspection team in Lynnfield, Massachusetts.
The ideal candidate will:
- Have 3-6 years financial services experience
- Hold FINRA Series 7 and 24 registration
- Be a self-starter who can work independently
- Be extremely organized
- Be detail oriented with strong analytic skills
- Work well under strict deadlines
- Demonstrate being proactive
- Have excellent written and oral communication skills
Tasks will include but are not limited to conducting the on-site examinations of our independent representatives who are located throughout the country, completing the examination report and noting all deficiencies identified during the inspection, composing a follow-up/deficiency letter based on report findings, collecting the response from our representatives in a timely fashion to close the inspection, and all other compliance functions deemed necessary. The salary for this position is based on experience and benefits include 3 weeks’ vacation, medical and dental insurance as well as other company benefits and perks. Candidate should expect to travel up to 75% of the time throughout the country and will be located at the home office when not traveling. It is our goal at Investors Capital Corporation to create career paths and advancement opportunities for our employees.
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