Branch Compliance Auditor

1 month ago


Toronto, Ontario, Canada IronMaxx Nutrition GmbH & Co. KG Full time $60,000 - $90,000
Position Overview

IronMaxx Nutrition GmbH & Co. KG is a prominent player in the nutritional supplement industry, dedicated to providing high-quality products and services. We are currently seeking a Branch Compliance Auditor to enhance our Compliance team, reporting directly to the Branch Compliance Manager.

Key Responsibilities
  • Conduct thorough onsite evaluations of branch offices within the Private Client Group across the United States.
  • Implement the Branch Examination Program effectively to ensure adherence to established standards.
  • Travel to various branch locations to assess office documentation, completed surveys, and operational procedures, ensuring compliance with internal policies, SRO regulations, and relevant laws.
  • Execute additional reviews and projects as required, maintaining a high standard of quality and timeliness.
  • Travel requirements will involve at least 40% domestic travel to branch offices.
Qualifications

The ideal candidate will possess:

  • In-depth knowledge of SEC, FINRA, and state securities regulations.
  • A strong proficiency in technology, particularly with MS Office Suite (Word, Excel, PowerPoint, and Outlook).
Compensation

The salary range for this position is competitive and reflects the diverse factors considered in salary decisions, including skills, qualifications, experience, and organizational needs.



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