• Perform pre-exam testing by analyzing risk assessments, establishing sample selection criteria, testing selected samples per departmental procedures and reviewing relevant documentation. • Conduct onsite branch inspections, review electronic and physical reports and documents, and interview financial advisors, support staff and branch management. • Leverage your expertise and judgment to evaluate testing results and assess the adequacy and effectiveness of the branches control environment. • Hold meetings with branch management to discuss preliminary findings, identify root causes of noted issues, and obtain formal responses to exam results. • Collaborate with local management and key personnel to address identified business risks and policy violations and develop comprehensive corrective action plans to facilitate the timely remediation of identified issues. • Collaborate with branch examination management to assess whether a branch office complies with regulatory requirements and Firm policies and procedures. • Oversee multiple examinations and projects concurrently. • Maintain up-to-date knowledge of industry and regulatory changes.