Branch Office Examiner - Broker/Dealer
Rosenthal Recruiting
About this role
This role involves reviewing branch office records, conducting compliance examinations, and interviewing personnel to ensure adherence to firm policies, SRO Rules, and Federal regulations. The position requires engagement in compliance and regulatory work within broker-dealer environments, focusing on examination and oversight activities.
Skills
Qualifications
About Rosenthal Recruiting
rosenthalrecruiting.comRosenthal Recruiting is a boutique recruiting and staffing firm that connects companies with qualified professionals across a range of industries and functional roles. They offer services such as executive search, direct placement, contract staffing, and thorough candidate screening with an emphasis on cultural fit and long-term retention. Rosenthal also advises candidates on career strategy and interview preparation, leveraging a curated network and personalized approach. Clients rely on the firm for attentive service, fast turnaround, and vetted talent tailored to organizational needs.
About Rosenthal Recruiting
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Leadership Team
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
Unlock Company Insights
View leadership team, funding history,
and employee contacts for Rosenthal Recruiting.
Salary
$60k – $90k
per year
More jobs at Rosenthal Recruiting
Similar Jobs
Advisor, Compliance PCG Branch Exams
Raymond James & Associates, Inc., Research Division
Broker Dealer Advisory Manager
Capital One
Director, Broker-Dealer Operations
Betterment
Sr. Advisor, Compliance PCG Branch Exams
Raymond James & Associates, Inc., Research Division
Director-Broker Dealer Regulatory Reporting
TD Bank Group
Director-Broker Dealer Regulatory Reporting
TD Bank Group