Regional Compliance & Audit Lead - Remote
Remote / Online - Candidates ideally in
Chicago, Cook County, Illinois, 60290, USA
Listed on 2026-08-19
Chicago, Cook County, Illinois, 60290, USA
Listing for:
Equitable
Remote/Work from Home
position Listed on 2026-08-19
Job specializations:
-
Finance & Banking
Financial Compliance, Regulatory Compliance Specialist, Financial Crime
Job Description & How to Apply Below
Equitable is seeking a Senior Compliance Examiner to conduct risk-based examinations of NSBOs and non-branch sites, including onsite and remote reviews under FINRA 3110. You will prepare work papers, assess controls, and document findings with remediation plans.
The role requires 5+ years in financial services, FINRA Series 7/24, and strong knowledge of life insurance and broker-dealer regulations. A collaborative, detail-oriented professional will thrive here.
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