$70,000–$130,000
USD/year
The Branch Inspection Program is one pillar of the IMBD Central Compliance 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. Utilizing both on-site and virtual inspections, the Examiner is expected to complete numerous inspections per year of various Firm locations. Conduct virtual/on-site inspections to detect instances of policy violations in a variety of areas.