• Conduct compliance examinations of securities brokerage and advisory branch offices • Approximately 90% of exams are performed remotely • Up to 40% domestic travel may be required as business needs evolve • Identify, research, and investigate potential audit exceptions • Lead opening and closing meetings with branch personnel and leadership • Prepare clear, well‑organized audit reports and supporting documentation • Collaborate with Audit Managers and team members to improve processes, drive efficiencies, and enhance exam quality • Apply regulatory knowledge to real‑world business scenarios with sound judgment and professionalism