Sign up to access all features of our service.
  • Job search
  • Favorites
  • Create a CV
    New
  • Salaries
  • Subscriptions

Senior Compliance Examiner — Remote Branch Exams

$80k - $95k

BBF Wealth

New York, NY
  • 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

Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the Senior Compliance Examiner — Remote Branch Exams in New York, NY vacancy
  • $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 work
    Senior

    Fwainvest

    New York, NY
    5 days ago
  • $80k - $95k

     ...services firm is seeking an experienced Examiner for branch examinations across the U.S....  ...reviews, documenting findings, and ensuring compliance with federal and state regulations. Candidates...  ...between $80,000 and $95,000 and remote work options. #J-18808-Ljbffr... 
    Remote work
    Senior

    BBF Wealth

    New York, NY
    2 days ago
  • $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 work
    Senior
    Full time
    Work at office

    Osaic

    United States
    15 hours ago
  • $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 job
    Senior
    Work at office

    Osaic

    La Vista, NE
    2 days ago
  • 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 job
    Senior
    Work at office

    Osaic

    Scottsdale, AZ
    2 days ago
  • $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 work
    Senior
    Full time
    For contractors
    Work at office

    Osaic

    La Vista, NE
    2 days ago
  • $80k - $95k

     ...services firm is seeking a qualified examiner to conduct onsite branch examinations across the U.S....  ...and communication of exam findings to ensure compliance with regulations. Candidates should...  ...range of $80,000 - $95,000, with remote work options and up to 50% travel... 
    Remote work
    Senior

    Thecentermemphis

    Raymond, NH
    2 days ago
  • $80k - $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 At Raymond James our associates... 
    Remote work
    Senior
    Shift work

    Thecentermemphis

    Raymond, NH
    2 days ago
  • $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 work
    Full time
    For contractors
    Work at office

    Osaic

    La Vista, NE
    8 hours ago
  • $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 work
    Temporary work
    Work at office
    Local area

    Morgan Stanley

    San Antonio, TX
    2 days ago
  • 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 job
    Work at office

    Osaic

    Scottsdale, AZ
    1 day ago
  • 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 job
    Work at office

    Osaic

    La Vista, NE
    2 days ago
  • $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 job
    Work at office

    Osaic

    La Vista, NE
    5 days ago
  •  ...excellence. Position Overview The Branch Examiner will be responsible for executing both onsite and remote office inspections across the...  ...approximately 30-50 branch exams per year, either onsite or remotely...  ..., and involvement in Audit or Compliance functions Bachelor’s degree or... 
    Remote work
    Work experience placement

    Steward Partners

    New York, NY
    8 hours ago
  •  ...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 work
    Senior

    StoneX Group

    Denver, CO
    2 days ago
  • $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...  ...Branch Examination Program Communicate exam findings to Branch management, exam... 
    Flexible hours

    Oppenheimer & Co.

    Chicago, IL
    4 days ago
  • $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 job
    Senior

    UNAVAILABLE

    Denver, CO
    5 days ago
  • $85k - $110k

     ...Job Title: Senior ABL Field Examiner Location: Remote Job Type: Full-time Pay Range: $85,000-$110,000 per year Company Overview Tiger Field Exam Services, a division of Tiger Valuation Services, LLC, is a team of solution-driven asset-based lending field... 
    Remote work
    Senior
    Full time
    Bank staff
    Flexible hours

    Tiger Capital Group LLC

    Dallas, TX
    8 hours ago
  • $102k

     ...banking regulations; thorough knowledge of branch operations including Teller operations,...  ...annual operating plan; ensuring office compliance with operating policies and procedures...  ...product plans. Establishes/coordinates Remote Capture process for business customers.... 
    Remote work
    Senior
    Work at office

    First Commerce Bank

    Lakewood, NJ
    1 day ago
  • $187k - $253k

     ...are seeking a brilliant and passionate Senior Staff Analyst for Fraud Policy to be a key...  ...minimizing fraud losses and maintaining compliance with applicable regulations....  ...synthetic identity, mule activity, ACH fraud, remote accesstools). Investigate and resolve fraud... 
    Remote work
    Senior

    Intuit Inc.

    New York, NY
    2 days ago
  •  ...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 work
    Senior
    Work at office

    Braviant Holdings

    Dallas, TX
    4 days ago
  • Cost Reduction Solutions is seeking a Senior Collateral Field Examiner to work remotely. The role involves conducting field exams to assess clients' collateral, compiling detailed reports, and ensuring compliance with lending requirements. Candidates should have a strong... 
    Remote job
    Senior

    Cost Reduction Solutions

    Seattle, WA
    2 days ago
  • $8.41k - $11.05k

     ...Under general direction of the Deputy Director, Office of Financial Review, the Senior Examiner performs complex analysis of the financial, enrollment and compliance data submitted by health plans and risk bearing organizations (RBO) to assess the financial solvency of... 
    Remote work
    Senior
    Permanent employment
    Full time
    Work at office
    Flexible hours

    California Correctional Health Care Services

    Sacramento, CA
    3 days ago
  • $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 work
    Senior
    Work at office

    StoneX Group

    Denver, CO
    3 days ago
  • $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 work
    Hourly pay
    Contract work

    Lewis & Ellis

    Allen, TX
    4 days ago
  • $81.07k - $129.71k

     ...meeting contractual obligations, and ensuring compliance with state and federal regulations. What...  ...Investigator), CFE (Certified Fraud Examiner), or similar healthcare fraud or...  ...company. Whether the role is Hybrid Flex or Remote Flex depends on the nature of the work and... 
    Remote work
    Senior
    Local area
    Flexible hours

    Blue Cross and Blue Shield of North Carolina

    North Carolina
    2 days ago
  • $34k - $127.4k

     ...company’s success. As a Field Examiner within PNC's Business Credit...  ...Asset Based Lending (ABL) Field Exam experience # Familiarity...  ...locations or in a hybrid on-site/remote environment. Performs...  ...that the Borrowing Base is in-compliance and being managed per the terms... 
    Remote work
    Full time
    Temporary work
    Part time
    Work experience placement
    Work at office

    PNC

    Pasadena, CA
    2 days ago
  • $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 job
    Hourly pay
    Contract work

    Lewis & Ellis - Actuaries and Consultants

    Allen, TX
    4 days ago
  • $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... 

    Morgan Stanley

    Houston, TX
    3 days ago
  • $65k - $83k

    Oppenheimer & Co. Inc. is seeking a Branch Examiner to join our Compliance team in Dallas, TX. This role involves conducting onsite branch examinations of Private Client Group branch offices throughout the U.S., requiring up to 40% travel. The ideal candidate will possess... 

    Oppenheimer & Co. Inc.

    Dallas, TX
    3 days ago

Do you want to receive more vacancies?

Subscribe and receive similar vacancies to Senior Compliance Examiner — Remote Branch Exams. Be the first to apply!