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Remote Regional Compliance Auditor
Remote / Online - Candidates ideally in
Richmond, Henrico County, Virginia, 23214, USA
Listed on 2026-08-22
Richmond, Henrico County, Virginia, 23214, USA
Listing for:
Equitable
Remote/Work from Home
position Listed on 2026-08-22
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Crime -
Law/Legal
Regulatory Compliance Specialist, Financial Crime
Job Description & How to Apply Below
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.
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