Branch Examiner Position Summary The Branch Examiner reports to the Vice President, Compliance. The responsibilities of this role include performing branch office examinations, conducting internal testing of the Firm’s policies and procedures under FINRA Rule 3120 and SEC Rule 206(4)-7, assisting in the development of and conducting Firm-wide training for home office and field personnel, monitoring and assisting with questions/inquiries to Compliance via the department’s email inbox, and other projects, as necessary. The Branch Examiner will conduct field and home office branch office examinations, including associated pre-audit work, on-site examinations, post-examination follow-up, articulating findings and recommendations in a final written report, and conducting internal inquiries when presented with possible violative behavior. This position requires approximately 25% travel. The incumbent may also assist with the development and conduct of other Firm-wide training, as necessary. Essential Duties and Responsibilities Working as part of the Compliance Department to support the Firm’s Broker-Dealer and Registered Investment Adviser. Conducting compliance examinations of the Firm’s branch and home office locations. Assisting with developing the Firm’s branch and home office inspection program. Maintaining and updating the Firm’s examination documents to ensure robust and relevant examination procedures. Assisting and providing guidance to field compliance examiners and branch office supervisors regarding branch examination requirements. Reviewing, tracking, and ensuring completion of branch office inspections conducted by OSJ supervisors. Investigating potential violations of regulatory requirements or firm procedures by associated persons and making recommendations regarding appropriate disciplinary action. Identifying and escalating potential compliance matters to business management and field supervisors. Assisting in the development and implementation of correction plans for out-of-compliance situations and monitoring results for success. Assisting in responding to regulatory inquiries, customer complaints, and ad-hoc projects. Assisting in the Firm’s annual internal audit of written supervisory procedures. Researching SEC/FINRA/MSRB/State-specific regulations and laws to determine applicability to the Firm’s examination program and related activities. Developing communications that relay Firm policies, regulatory changes/updates, and reminders of Firm policy to relevant audiences (i.e. registered representatives, investment adviser representatives, field supervisors, non-registered associated persons, etc.) Participating in and/or leading project completion with respect to general compliance initiatives. Conducting special training, compliance risk management or similar tasks. Maintaining quality customer relations with emphasis on service, delivery of quality work product, and support of business needs and requirements. Periodically attending professional and/or industry meetings, seminars and continued education programs to remain current in compliance, regulatory requirements and firm procedures. Performing other duties as assigned. Experience, Education, and Certification Requirements Minimum of 5 years General Securities and Broker Dealer Compliance Minimum of 3 years Compliance Auditing Bachelor's Degree, Business or related field Active FINRA Series 7 and 24 required Additional securities registrations, including Municipal Securities Series 51 or 53, and Investment Adviser Representative registration a plus State insurance license and insurance industry certifications are also a plus (e.g. CLU, ChFC, FLMI) Ability to travel approximately 25% The base compensation range represents the low and high end of the range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to qualifications, skills, competencies, location, and experience. The range listed is just one component of our total compensation package for employees. Other rewards may include an annual bonus, quarterly bonuses, commissions, and other long-term incentive compensation, depending on the position. National Life offers a competitive total rewards package which includes: a 401(k) retirement plan match; medical, dental, and vision insurance; a company funded wellness account for director and below employees; 10 paid holidays; a generous paid time off plan (22 days of combined time-off for non-exempt employees and exempt employees have discretion in managing their time, including scheduling time off in the normal course of business, but in no event will exempt employees receive less sick time than required by state or local law); 6 weeks of paid parental leave; and 6 weeks of paid family leave after a year of full-time employment National Life Group® is a trade name of National Life Insurance Company, Montpelier, VT – founded in 1848, Life Insurance Company of the Southwest, Addison, TX – chartered in 1955, and their affiliates. Each company of National Life Group is solely responsible for its own financial condition and contractual obligations. Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. All other entities are independent of the companies of National Life Group. Fortune 1000 status is based on the consolidated financial results of all National Life Group companies. National Life Group 1 National Life Dr Montpelier, VT 05604 #LI-DO #LI-Remote Social Media Policy Site Disclosure and Privacy Policy