Branch Auditor

Calton & Associates Inc. is currently seeking an experienced Branch Auditor to join our team in Tampa, FL.

Calton & Associates Overview
Calton & Associates is a one of the nation’s long standing broker dealers servicing independent financial advisors.  Founded in 1987, Calton & Associates has built a solid foundation for supporting independent financial advisors and the growth of their business.  Through a comprehensive range of financial products and services, Calton & Associates helps advisors pursue the appropriate financial solutions to support a clients’ needs.  With over 100 offices nationwide Calton & Associates is a family friendly broker dealer for quality advisors who want independence along with support to grow their business.

Job Description

Support the Chief Compliance Officer in administering the BD and RIA compliance program primarily through onsite branch audits.  Identify irregularities, and potential areas of risk; develop and implement corrective action plans for resolution, and to mitigate future risk.

Essential Job Duties & Responsibilities

  • Conduct OSJ and non-OSJ branch examinations/audits as needed across the country
  • Provide assistance and guidance to registered representatives regarding compliance issues, firm policies and procedures and industry regulations
  • Monitor offices requiring heightened review  
  • Assist in the preparation for regulatory examinations, arbitrations; respond to verbal and written inquiries and requests
  • Monitor and review representatives’ outside business activities

May review customer complaints and resolve or escalate as necessary

  • Other tasks/responsibilities as assigned by the Chief Compliance Officer

Education and Experience

  • Bachelor’s degree
  • Relevant work experience: minimum 1 year of auditing experience
  • Series 7 & 24 required

Skills and Abilities

  • Working knowledge of FINRA, SEC and state regulations
  • Working knowledge of financial services products
  • Strong research, investigative and interpretation skills
  • Solid verbal and written communication skills
  • Ability to research and interpret new rules and regulations
  • Strong attention to detail
  • Strong knowledge MS Office and other relevant computer applications
  • Travel up to 75%

Compensation and Benefits

  • Base salary
  • Company profit sharing plan
  • Company 401(k) and matching program
  • Medical coverage
  • Dental coverage
  • Life insurance coverage

Apply Now