Remote Compliance Auditor — Branch Exams

Cetera Financial Group Inc; United States; Remote; USD 85,000 - 95,000; Full time

Job summary

You will perform examinations, investigate exceptions, lead meetings, and produce audit reports while collaborating with the team to improve processes and exam quality.

Qualifications

• Active Series 7, 24, and 66 licenses (or Series 63 and 65)
• 5+ years of experience in branch examinations or audits; broker-dealer operations; securities/advisory compliance
• Ability to work independently in a remote, self-directed environment
• Strong written and verbal communication skills
• Proficiency with Microsoft Office applications (Word/Excel/Teams/Outlook)

Responsibilities

• Audit compliance examinations of broker-dealer and advisory branches.
• Identify, research, and investigate potential audit exceptions.
• Lead opening and closing meetings with branch personnel and leadership.
• Prepare clear, well-organized audit reports and documentation.
• Collaborate with Audit Managers to improve processes and exam quality.
• Apply regulatory knowledge to real-world business scenarios with sound judgement.

Skills

Communication skills

Remote work

Microsoft Office proficiency

Education

Bachelor's or Associate's degree in Business/Finance/Accounting/Economics

Tools

Microsoft Word

Microsoft Excel

Microsoft Teams

Microsoft Outlook

Job description

You will perform examinations, investigate exceptions, lead meetings, and produce audit reports while collaborating with the team to improve processes and exam quality.