Senior Compliance Examiner – Remote Branch Exams
Yonkers, Westchester County, New York, 10701, USA
Listed on 2026-09-25
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Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Raymond James seeks an experienced examiner to perform onsite branch examinations of retail brokerage offices across the United States. You will review supervisory systems, location conditions, files, and interview employees to ensure adherence to firm policies and regulatory rules.
Responsibilities include documenting testing activities, communicating findings to management, and following up on actions. Travel can be up to 50%, with remote work options where appropriate, and a comprehensive
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