Senior Branch Compliance Examiner — Remote
Advisor Group Inc.
- Remote job
Advisor Group Inc. is seeking a Sr. Branch Office Examiner to manage branch exams for Financial Advisors. This remote role involves conducting 85-100 exams annually and requires 3-5 years of experience as a Branch Examiner, as well as FINRA licenses. Strong communication skills and proficiency in MS Office are a must. Benefits include health, dental, and vision insurance, a 401k plan, and paid time off. #J-18808-Ljbffr Advisor Group Inc.
$80k - $95k
...in New York is seeking an experienced branch examiner to perform onsite examinations of brokerage... ..., identifying risks, and supporting compliance efforts. This role offers a competitive... ...000 and may require up to 50% travel in a remote work environment. #J-18808-Ljbffr...Remote workSenior$80k - $85k
...Current Employees and Contractors Apply Here Osaic Careers REMOTE Compliance Risk Opportunity in Financial Services Senior Branch Office Examiner Location(s): Open to Qualified Remote Applicants in the United States Role Type: Full-time...Remote workSeniorFull timeFor contractorsWork at office$75k - $95k
...based in New York, is seeking a Compliance Officer to oversee the execution of risk-based branch exams. Responsibilities include... ...least three years of licensed examination experience. The role offers a salary... ...5,000 to $95,000 and up to 50% remote work. The position also...Remote workSenior$80k - $85k
A financial services company is seeking a Senior Branch Office Examiner to oversee Branch Exams to Financial Advisors. This role requires a minimum of 4 days weekly in-person but is open to remote applicants. Responsibilities include conducting exams, preparing reports...Remote jobSeniorWork at office- A leading financial services firm is seeking a Senior Branch Office Examiner responsible for conducting compliance exams for financial advisors. This hybrid role requires 3-5 years of branch examination experience, with a strong focus on communication and compliance oversight...Remote jobSeniorWork at office
$80k - $85k
Current Employees and Contractors Apply Here Osaic Careers Compliance Risk Opportunity in Financial Services Senior Branch Office Examiner Location(s) Open to Remote Applicants & Hub Locations Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339 La Vista:1232...Remote workSeniorFull timeFor contractorsWork at office$65k - $75k
...Osaic Careers REMOTE Compliance Risk Opportunity in Financial Services Branch Office Examiner Location(s): Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 – $75,000 per year + annual bonus Actual compensation...Remote workFull timeWork at office$70k - $125k
...Branch Examiner In Wm Compliance We're seeking someone to join our team as a Branch Examiner in WM Compliance to perform independent oversight... ...Team-oriented with the ability to interact with diverse remote teams, branch staff and management ~ Strong communication...Remote workTemporary workWork at officeLocal area- Osaic is seeking a Branch Office Examiner to conduct branch exams, providing guidance and compliance monitoring for Financial Advisors. The role requires independent travel, analytical skills, and strong communication abilities. The ideal candidate will have a minimum of...Remote jobWork at office
$65k - $75k
Osaic is seeking a Branch Office Examiner to provide guidance and oversight of Branch Exams for Financial Advisors. This position involves conducting onsite examinations and ensuring compliance with applicable regulations. The ideal candidate has a minimum of 3 years in...Remote jobWork at office- A financial services firm is seeking a Branch Office Examiner to provide guidance and oversight of compliance within their branches. This role entails conducting onsite exams, traveling up to 50% of the time, and educating staff on regulations. Candidates should have a...Remote jobWork at office
$65k - $75k
Summary Osaic is currently seeking a Branch Office Examiner in our Branch Exam department. This role administers branch... ...with Osaic’s Broker Dealers, ensuring compliance with applicable regulations. Qualified remote applicants will be considered; the role is available...Remote workWork at office- ...financial services company located in Denver, Colorado seeks a Compliance Officer for branch examinations. The role requires 5+ years of compliance experience... ..., and communication skills. The position allows for remote work but requires up to 75% travel. #J-18808-Ljbffr...Remote workSenior
$95k - $115k
An opportunity in Denver for a Compliance Officer focused on ensuring compliance for StoneX... ...RIAs. The role involves conducting branch examinations, reviewing operations against... ...analytical skills. The position supports remote work with up to 75% travel and offers...Remote jobSenior$75k - $95k
...0 Raymond James & Associates, Inc. is seeking a compliance exam specialist to execute risk-based branch examination programs across the country. The role involves documenting... ...navigate complex risk indicators. This role is remote and offers a competitive salary range of $75,000...Remote jobSenior$81.07k - $129.71k
...and Procedures, meeting contractual obligations, and ensuring compliance with state and federal regulations. What You'll Do Conducts... ...Healthcare Fraud Investigator), CFE (Certified Fraud Examiner), or similar healthcare fraud or compliance credentials Experience...Remote workSeniorLocal area$75k - $90k
...the supervisory oversight of branch manager activity, ensuring adherence... ...of branch managers to ensure compliance with internal policies and... .... Escalates concerns to senior management and may propose new... ...Travel Less than 25% Workstyle Remote Compensation and Benefits The...Remote workSeniorWork at officeHome office$61 per hour
...Telework The Fraud Analyst III Senior OMI actively supports the... ...systems and various compliance, workflow, and database systems... ...Investigator. Certified Fraud Examiner (CFE) Ability to provide favorable... ...Teleworking Details 100% Remote Estimated Salary/Wage...Remote workSeniorFor contractorsCasual workWork at office$75k - $117k
...$117,000 Location Type: Remote (candidate must reside in FL)... ...Type: Full Time The Senior Fraud Analyst actively participates... ...leadership, boards, and examiners Maintain knowledge and... ...knowledge Complete annual compliance and info security training to...Remote workSeniorFull timeTemporary workWork experience placement- ...Senior Fraud and Abuse Operations Analyst We believe that the way people interact with... ...effectively with internal Legal, Compliance, Comms and other risk management teams during... ...domain certifications (e.g., CFE/fraud examination background). Exposure to production ML...Remote workSeniorWork experience placementLocal area
- ...hiring great talent and offering them the flexibility to achieve great results unbounded by geography. Braviant is offering a fully remote option for anyone in the U.S. who wants to join our team and help us grow. We also have an office space in the heart of downtown...Remote workSeniorWork at office
$75k - $115k
...changing policies. Position purpose: To plan and conduct branch examinations. May perform other compliance duties/responsibilities as part of a compliance team.... ...StoneX broker dealers and RIAs, both onsite and remote Review branch operations, sales practices, supervisory...Remote workSeniorWork at office$187k - $253k
Senior Staff Fraud and Risk Analyst - Fintech Category Security, Risk & Fraud Location... ...minimizing fraud losses and maintaining compliance with applicable regulations. Responsibilities... ...identity, mule activity, ACH fraud, remote access tools). Investigate and resolve fraud...Remote workSeniorWorldwide- ...commitment to excellence. Position Overview The Branch Examiner will be responsible for executing both onsite and remote office inspections across the Firm. Duties and... ...Management, and involvement in Audit or Compliance functions Bachelor’s degree or equivalent work...Remote workWork experience placement
$65k - $83k
...Branch Examiner Oppenheimer & Co. Inc. is seeking a Branch Examiner to join our Compliance team who will report to the Branch Examiner Manager. The Branch Examiner is responsible for conducting onsite branch examinations of Private Client Group branch offices throughout...Flexible hours$57.76k - $124.17k
...be consumed by LOB (lines of business) senior executives and analysis for managing fraud... ...hybrid (Mon through Thu on-site / Fri remote) for candidates in the Kansas City metropolitan... ...supporting any changes. Ensures compliance with all regulatory requirements....Remote workSeniorLocal areaFlexible hours$70k - $125k
Morgan Stanley is seeking a Branch Examiner in Houston, TX, to perform independent oversight of risk-based examinations in retail locations. The role involves conducting inspections, assessing compliance, and collaborating with branch management. Qualified candidates should...- ...Corporate office in Newtown, CT. The role has a remote option of one day per week. PRIMARY... ...sources: monitoring solutions, reports, branch or other bank employee referrals, and... ...fraud trends, relevant regulations and compliance standards. POSITION REQUIREMENTS...Remote workFull timeTemporary work1 day per week
$52k - $64k
...$9.7 billion in assets and operates 45 branch locations throughout the Chicago and Milwaukee... ...and/or other program related compliance functions. General compliance or operational... .... This role allows for a combination of remote and in-office work, with occasional visits...Remote workBank staffLocal area- ...needs in a timely manner. Job Summary The Senior Fraud Operations Analyst monitors and... ...reports for internal review and regulatory compliance. ~ Pull and interpret data from fraud... ...initiatives for support teams and branches, enhancing fraud awareness and updating...SeniorFull timeWork experience placementWork at office
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