Senior Compliance Examiner: Branch Exams; Remote
Remote / Online - Candidates ideally in
New York, New York County, New York, 10261, USA
Listed on 2026-08-27
New York, New York County, New York, 10261, USA
Listing for:
100 Raymond James & Associates, Inc.
Full Time, Remote/Work from Home
position Listed on 2026-08-27
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
Location: New York
100 Raymond James & Associates, Inc. is seeking an examiner to conduct onsite branch examinations of retail brokerage offices across the United States.
The role requires documenting testing activities, applying risk-weighted judgments, and communicating findings to branch management and compliance leadership. The ideal candidate has a bachelor’s degree and at least three years of licensed examination experience, with Series 7/24 or Series 9/10 eligibility and the ability to obtain licenses
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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