Senior Compliance Examiner — Remote Branch Exams
$80k - $95kBBF Wealth
- Remote job
A financial services firm in New York is seeking an experienced branch examiner to perform onsite examinations of brokerage offices across the U.S. The ideal candidate will have a solid background in the securities industry, excellent documentation skills and the ability to communicate findings clearly. Responsibilities include conducting examinations, identifying risks, and supporting compliance efforts. This role offers a competitive salary of $80,000 to $95,000 and may require up to 50% travel in a remote work environment. #J-18808-Ljbffr BBF Wealth
$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... ...,000 to $95,000 and up to 50% remote work. The position also includes...Remote workSenior$80k - $85k
...Osaic Careers REMOTE Compliance Risk Opportunity in Financial Services Senior Branch Office Examiner Location(s): Open to Qualified Remote Applicants in the United States... ...a Sr. Branch Office Examiner in our Branch Exam department. This is an outstanding...Remote workSeniorFull timeWork 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
...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: 230... .... Branch Office Examiner in our Branch Exam department. This is an outstanding...Remote workSeniorFull timeFor contractorsWork at office$65k - $75k
...Employees and Contractors Apply HereOsaic Careers REMOTE Compliance Risk Opportunity in Financial Services Branch Office Examiner Location(s): Open to Qualified Remote... ...a Branch Office Examiner in our Branch Exam department. This is an outstanding opportunity...Remote workFull timeFor contractorsWork at office$70k - $125k
...Branch Examiner In Wm Compliance We're seeking someone to join our team as a Branch Examiner in WM Compliance... .... The Role: Perform pre-exam testing by analyzing risk assessments... ...the ability to interact with diverse remote teams, branch staff and management...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
- 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
$70k - $125k
Morgan Stanley is seeking a Branch Examiner in WM Compliance to perform independent oversight of risk-based branch examinations across retail locations. This director-level position involves evaluating compliance, testing sales practices, and ensuring the Firm’s regulatory...Senior- Corebridge Financial is seeking a Branch Office Examiner to conduct examinations of branch offices across the United States. This role requires... ...the Financial Services sector with a strong background in compliance. A FINRA Series 7 license is required, and exceptional...Remote jobWork at office
- Corebridge Financial is looking for a Branch Office Examiner to conduct examinations and ensure compliance with industry regulations. This role requires travel of up to 50% and strong financial services experience is essential. The ideal candidate will possess a FINRA...Remote job
- Corebridge Financial is seeking a Branch Office Examiner to conduct financial examinations across the U.S. The ideal candidate... ...financial services industry, with strong knowledge of compliance regulations. This remote position involves approximately 75-125 examinations...Remote jobWork at office
$75k - $95k
...industry to conduct onsite* branch examinations of retail brokerage offices throughout the U.S. Exams include reviews of various supervisory... ..., exam managers and compliance leadership Provide reporting... ...Up to 50% Workstyle Remote The total compensation for...Remote workSeniorWork experience placementShift work- CIBC US is looking for a Senior Manager, Information Security Regulatory & Exam based in Chicago, IL. This position involves ensuring compliance with regulatory standards and managing regulatory risks while supporting internal audit activities. The ideal candidate has at...Remote jobSenior
$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- Riverrun is seeking a Senior BSA Fraud Analyst to support AML/CFT and fraud prevention... ...transaction data, reviewing alerts, and ensuring compliance with regulations. This position offers a... ...three days in-office and two days remote. Qualified candidates will have a strong...Remote workSeniorWork at office
- ...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
$95k - $115k
...Compliance Branch Examiner Connecting clients to markets and talent to opportunity With 4,300 employees and over 400,000 retail and institutional... ...multiple StoneX broker dealers and RIAs, both onsite and remote Review branch operations, sales practices, supervisory...Remote workSeniorWork at office$80 - $100 per hour
[This is a remote role] Are you skilled in navigating the complexities... ...conduct with a keen eye for compliance and consumer protection? Can... ...Contract Market Conduct Examiner role, we're eager to hear... ...· Conduct market conduct exams to check insurance companies...Remote workHourly payContract work$80 - $100 per hour
Lewis & Ellis - Actuaries and Consultants is seeking a Contract Market Conduct Examiner for a fully remote position. Responsibilities include conducting market exams, analyzing compliance risks, and improving examination processes. Essential requirements are at least 2...Remote jobHourly payContract work$74.8k - $112.2k
...and detail-oriented Senior Compliance Associate to join our... ...for state regulatory examinations. This is a unique opportunity... ...of new corporate, branch, and individual MLO (... ...audits, financial exams). Coordinate... ...verification form upon hire. #LI-MM1 #LI-Remote...Remote workSeniorVisa sponsorshipWork visa$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...$70k - $105k
...investigation, reporting directly to the Head of Compliance. This is a hands-on role with real... .... Support BSA/AML audits, regulatory exams, and internal testing. Cross-coverage... ...Parental leave Flexible time off Remote-first, NYC preferred for occasional in-person...Remote workH1bVisa sponsorshipWork visaFlexible hours$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- ...compromise and presents case analysis to Senior Fraud Operations Analyst and/or... ...responsibilities must be performed in adherence to the compliance of bank and department operational... ...account collection. Serve as a branch support and provides guidance regarding...Remote workWork experience placementFlexible hoursShift workAfternoon shift
- ...Senior Loans Fraud Data Analyst The Senior Loans Fraud Data Analyst will be accountable for fraud strategy analytics for branch/digital loan acquisitions and transactions spanning OneMain's Personal... ...teams (Operations, Technology, Compliance) to align with broader...SeniorFlexible hours
$85k - $145k
...COMPLIANCE SPECIALIST SENIOR WEALTH MANAGEMENT WHAT IS THE OPPORTUNITY? The Compliance... ...comprehensive knowledge in branch operations, client... ...regulatory agencies, including exam management and other... ...otherwise indicated as fully remote, reporting into a designated...Remote workSenior- An established industry player is seeking an Experienced ABL Field Examiner to join their dynamic team in Tampa. This role involves conducting due diligence services and audits for a diverse range of clients, including major banks and private equity firms. You will utilize...Remote jobSeniorFlexible hours
- ...chapter. WORK ENVIRONMENT: We are a remote first company. This role, as most of our... ...by delivering innovative fraud and compliance solutions and services that ensure clients... ...is responsible for supporting the Senior Director of Fraud in the overall fraud function...Remote workWork at office
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