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 - $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 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$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
...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$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 workSenior$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 workSeniorShift work$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
$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- ...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 workWork experience placement
- ...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
$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$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$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 workSeniorFull timeBank staffFlexible hours$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 workSeniorWork at office$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 workSenior- ...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
- 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 jobSenior
$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 workSeniorPermanent employmentFull timeWork at officeFlexible hours$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$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$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 workSeniorLocal areaFlexible hours$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 workFull timeTemporary workPart timeWork experience placementWork at office$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$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...$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...
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Compliance Examiner — Remote Branch Exams. Be the first to apply!
- securities compliance examiner New York, NY
- field examiner New York, NY
- compliance examiner New York, NY
- driving examiner New York, NY
- disability examiner New York, NY
- examiner New York, NY
- senior development executive New York, NY
- senior technical manager New York, NY
- senior medical writer New York, NY
- senior procurement specialist New York, NY

