Associate Director, Branch Inspection Program

How will this role impact First Command?

The Associate Director, Branch Inspection Program, is responsible for the strategic oversight, execution, and continuous enhancement of First Command’s Inspection Program to ensure compliance with Federal, State, SEC, and FINRA regulatory requirements, as well as the firm supervisory procedures.

This role expands beyond program execution to include leadership, talent development, and quality assurance oversight ensuring the program is scalable, risk aligned, and exam ready. The Associate Director partners with Compliance Leadership to establish inspection strategy and drive consistency.

What will the employee do in this role?

• Own and lead the design, execution, and continuous enhancement of the firm’s risk-based inspection program, including annual risk assessment and inspection frequency determination
• Provide strategic direction for targeted inspections based on emerging regulatory or internal risk trends
• Define roles, responsibilities, and career progression pathways across the inspection team.
• Build and oversee the inspection team structure
• Perform second-level review of inspection findings and ensure appropriate risk classification and remediation tracking.
• Establish and own a formal Quality Control framework for inspection outputs, including review protocols, calibration standards, and consistency reviews across examiners.
• Oversee enhancements to inspection tools (e.g., AuditTrax) to improve data integrity and reporting consistency.
• Provide regulatory and compliance advice to the business and field force on an ongoing basis.
• Support regulatory exams, internal audit reviews, and related inquiries.
• Oversee the scheduling, execution, and completion of branch, OSJ, and advisor inspections across broker-dealer and advisory business lines
• Ensure inspection reports clearly articulate findings, regulatory risk, and required corrective actions
• Prepare, schedule and conduct financial advisor inspections in relation to First Command broker-dealer and investment advisory business to ensure compliance with applicable industry rules, firm supervisory procedures and company policies.
• Review inspection findings to identify potential supervisory failures, policy violations, or misconduct
• Recommend disciplinary actions and corrective measures in coordination with Compliance Leadership
• Conduct targeted inspections due to industry or company compliance trends.
• Promote a consistent culture of compliance across field locations
• Facilitate department internal investigations based on findings or noted areas of concern.
• Identify and communicate emerging risks and trends to Compliance Leadership.
• Participate in managing compliance inspections conducted by outside regulators.
• Participate in the development and revision of compliance policies and procedures
• Develop and deliver structured training programs for inspection staff and field personnel.
• Provide field intelligence to the Compliance Leadership for possible red-flags or risks to the firm.
• Serve as a liaison between the Compliance Department and the field force.
• Assist with other duties as assigned.

What roles will this employee lead? 

• The inspection team (including potential Leads, Senior Examiners, Examiners, and QC) will report directly to this role

What skills & qualifications do you need?

Education

• A bachelor's degree is required.

Work Experience

• 8+ years of experience in financial services compliance
• 3-5 years of leadership experience overseeing a team within a compliance, audit, or inspection function.
• Previous experience as a field examiner in the securities industry preferred.

Certifications

• FINRA Series 7 and Series 24 required

Required Knowledge, Skills, and Abilities

• Ability to travel to field office locations
• Thoroughly familiar with FINRA, SEC and State specific rules and regulations for Investment Advisors and Broker-Dealers.
• Thoroughly familiar with insurance and investment products
• Excellent verbal and written communication skills.
• Ability to analytically assess the significance of findings and pursue them to their logical conclusion.
• Ability to work independently with minimal supervision.

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