Remote Branch Compliance Examiner - FINRA/SEC Audits

Raymond James; New York (NY); On-site; USD 75,000 - 95,000; Full time

Job summary

Raymond James conducts onsite branch examinations of retail brokerage offices across the United States to assess adherence to firm policies, procedures and regulations. The examiner documents findings in detail and communicates results to management.

The role requires Series licenses (7/24) or willingness to obtain, a Bachelor’s degree, and at least three years of licensed examination experience, with strong SEC/FINRA knowledge and proficiency in Word/Excel.

Qualifications

• Bachelor’s degree required; minimum three (3) years of licensed examination experience.
• Series 7/24 required or willing to obtain within 120 days; other licenses preferred.
• Strong knowledge of SEC/FINRA rules and the securities industry.

Responsibilities

• Execute risk-based branch exam program across FINRA-registered and non-registered Private Client Group branches nationwide.
• Document testing activities and maintain supporting work papers.
• Communicate findings clearly to branch management, exam managers and compliance leadership.
• Provide reporting and complete follow-up to address identified risks and trends.
• Mentor less-experienced team members and collaborate with Compliance and Supervision partners.

Skills

Branch exam knowledge

Regulatory knowledge

Documentation

Communication

Risk assessment

Microsoft Word/Excel

Education

Bachelor’s degree

Tools

Word

Excel

Job description

Raymond James conducts onsite branch examinations of retail brokerage offices across the United States to assess adherence to firm policies, procedures and regulations. The examiner documents findings in detail and communicates results to management.

The role requires Series licenses (7/24) or willingness to obtain, a Bachelor’s degree, and at least three years of licensed examination experience, with strong SEC/FINRA knowledge and proficiency in Word/Excel.