Remote Regional Compliance Auditor
Equitable
Richmond, VA
- Remote job
Equitable is seeking a seasoned Compliance Examiner to conduct risk-based examinations of NSBOs and non-branch locations, per FINRA Rule 3110, SEC/FINRA policies, and firm procedures. You will perform onsite and remote reviews and prepare working papers documenting findings. You will collaborate with Compliance, Legal, Risk Management, and Operations to address findings and improve examination methodologies. #J-18808-Ljbffr Equitable
Vacancy posted 3 days ago
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