Bank Examiner
An Initial AI Screening will be conducted for this role.
Contract duration: 3 months
Daily Responsibilities:
• The Branch Inspection Program is one pillar of the US Broker-Dealer Shared Services team responsible for reviewing for compliance with FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27, and various internal Firm policies and procedures. The Program reviews for compliance across four broker-dealers within the bank umbrella: Bank Capital Markets LLC (encompasses both retail and institutional businesses), Bank CMA Ltd., City National Securities, Inc., and CNR Securities, LLC.
What will you do?
• Utilizing both on-site and virtual inspections, the Examiner is expected to complete numerous inspections per year of various Firm locations. This includes traveling by air and/or car to certain locations.
• Review work performed by offshore examiners, to verify accuracy and completion, and to assist in the planning of their on-site and virtual inspections.
• Conduct virtual/on-site inspections to detect instances of policy violations, including but not limited to information barrier concerns, safeguarding of information, conflicts of interest, etc.
• The employee is expected to hold discussions either in-person or virtually with applicable branch or location personnel, summarize reviews in a written final report, maintain appropriate documentation to support reviews and findings/issues, and escalate any areas where concerns were noted.
• The final report will be distributed to business stakeholders, inclusive of senior management, and may require presentations by the examiner.
• The employee is expected to contribute/generate ideas for enhancements to the Program by leveraging industry research, holding discussions with LOB Compliance Advisory teams, and other methods.
• Willing to assist with special projects as they arise. Examples include but are not limited to relevant investigations, complaints, escalations, Regulatory Compliance Management (RCM), etc
What’s in it for you?
• We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• Opportunities to do challenging work
• Opportunities to build close relationships with clients
• Bank’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:
• Drives Bank’s high-performance culture
• Enables collective achievement of our strategic goals
• Generates sustainable shareholder returns and above market shareholder value
What program/technology/software knowledge is essential for this role?
• Excel (advanced- i.e. v-lookups, pivot tables)
• Word (basic)
• Outlook (basic)
• Adobe (Basic)
Must-have Skills:
• Bachelor’s degree
• Knowledge of FINRA (particularly Rule 3110), SEC, and MSRB expectations, rules, and regulations
• Familiarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer.
• Experience in roles in any of the following areas: Compliance Testing, Monitoring, Quality Assurance, Branch Inspections, Surveillance, and/or Internal Audit.
• Experience conducting phone interviews
• Experience using Excel (advanced- i.e. v-lookups, pivot tables), Word (basic), Outlook (basic), Adobe (Basic)
Nice-to-have Skills:
Any FINRA registrations (Series 7, 24 etc) preferred
Soft Skills:
• Strong verbal and written communication
• Strong attention to detail
FP Inc. is committed to creating an inclusive environment where all team members and clients feel like they belong. In accordance with the requirements set out in the Employment Standards Act, FP Inc. hereby declares that AI is utilized in the screening process for this position. The hourly compensation range for this role is 51/hr -60/hr. We seek applicants with a wide range of abilities, and we provide an accessible candidate experience. We advocate for you and welcome anyone regardless of race, colour, religion, national origin, sex, physical or mental disability, or age.
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Contract duration: 3 months
Daily Responsibilities:
• The Branch Inspection Program is one pillar of the US Broker-Dealer Shared Services team responsible for reviewing for compliance with FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27, and various internal Firm policies and procedures. The Program reviews for compliance across four broker-dealers within the bank umbrella: Bank Capital Markets LLC (encompasses both retail and institutional businesses), Bank CMA Ltd., City National Securities, Inc., and CNR Securities, LLC.
What will you do?
• Utilizing both on-site and virtual inspections, the Examiner is expected to complete numerous inspections per year of various Firm locations. This includes traveling by air and/or car to certain locations.
• Review work performed by offshore examiners, to verify accuracy and completion, and to assist in the planning of their on-site and virtual inspections.
• Conduct virtual/on-site inspections to detect instances of policy violations, including but not limited to information barrier concerns, safeguarding of information, conflicts of interest, etc.
• The employee is expected to hold discussions either in-person or virtually with applicable branch or location personnel, summarize reviews in a written final report, maintain appropriate documentation to support reviews and findings/issues, and escalate any areas where concerns were noted.
• The final report will be distributed to business stakeholders, inclusive of senior management, and may require presentations by the examiner.
• The employee is expected to contribute/generate ideas for enhancements to the Program by leveraging industry research, holding discussions with LOB Compliance Advisory teams, and other methods.
• Willing to assist with special projects as they arise. Examples include but are not limited to relevant investigations, complaints, escalations, Regulatory Compliance Management (RCM), etc
What’s in it for you?
• We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• Opportunities to do challenging work
• Opportunities to build close relationships with clients
• Bank’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:
• Drives Bank’s high-performance culture
• Enables collective achievement of our strategic goals
• Generates sustainable shareholder returns and above market shareholder value
What program/technology/software knowledge is essential for this role?
• Excel (advanced- i.e. v-lookups, pivot tables)
• Word (basic)
• Outlook (basic)
• Adobe (Basic)
Must-have Skills:
• Bachelor’s degree
• Knowledge of FINRA (particularly Rule 3110), SEC, and MSRB expectations, rules, and regulations
• Familiarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer.
• Experience in roles in any of the following areas: Compliance Testing, Monitoring, Quality Assurance, Branch Inspections, Surveillance, and/or Internal Audit.
• Experience conducting phone interviews
• Experience using Excel (advanced- i.e. v-lookups, pivot tables), Word (basic), Outlook (basic), Adobe (Basic)
Nice-to-have Skills:
Any FINRA registrations (Series 7, 24 etc) preferred
Soft Skills:
• Strong verbal and written communication
• Strong attention to detail
FP Inc. is committed to creating an inclusive environment where all team members and clients feel like they belong. In accordance with the requirements set out in the Employment Standards Act, FP Inc. hereby declares that AI is utilized in the screening process for this position. The hourly compensation range for this role is 51/hr -60/hr. We seek applicants with a wide range of abilities, and we provide an accessible candidate experience. We advocate for you and welcome anyone regardless of race, colour, religion, national origin, sex, physical or mental disability, or age.
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