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Remote Compliance Auditor: Broker-Dealer Exams
Remote / Online - Candidates ideally in
Seattle, King County, Washington, 98127, USA
Listed on 2026-09-04
Seattle, King County, Washington, 98127, USA
Listing for:
Remote Jobs
Remote/Work from Home
position Listed on 2026-09-04
Job specializations:
-
Finance & Banking
Auditor Accountant, Financial Compliance
Job Description & How to Apply Below
Remote Jobs is hiring a Compliance Analyst - Branch Exams to conduct audits of broker-dealer and advisory branch offices. This fully remote role requires travel up to 40% domestically and reports to an Audit Manager. You will prepare audit reports, identify exceptions, and collaborate with the team to improve exam quality.
Candidates need active Series licenses (7/24/66 or 63/65) and 5+ years in related audits, with strong communication and MS Office skills for remote work.
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