Senior Branch Compliance Examiner - Remote

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

Benefits offered by this job

Medical, Dental, Vision

Life Insurance

Retirement Savings Plan

Paid Time Off

Job summary

Raymond James is seeking an examiner to conduct onsite branch examinations of retail brokerage offices across the United States. The role emphasizes detailed documentation, communicating findings to management, and escalating risks to compliance leadership.

The position requires a bachelor’s degree and at least three years of licensed examination experience, with Series 7/24 (or equivalents) and travel up to 50%.

Qualifications

• Bachelor’s degree required (B.A./B.S.).
• Minimum of three (3) years of licensed examination experience.

Responsibilities

• Execute risk-based branch exams for FINRA-registered and non-registered Private Client Group branches nationwide.
• Document testing thoroughly in the branch exam system and work papers.
• Ensure sample methodologies and sizes reflect activity being tested.
• Provide clear communication of exam findings to branch management and compliance leadership.
• Escalate risks and adverse trends and support business partners with compliance guidance.
• Mentor less-experienced colleagues and support ad hoc reviews and projects.

Job description

Raymond James is seeking an examiner to conduct onsite branch examinations of retail brokerage offices across the United States. The role emphasizes detailed documentation, communicating findings to management, and escalating risks to compliance leadership.

The position requires a bachelor’s degree and at least three years of licensed examination experience, with Series 7/24 (or equivalents) and travel up to 50%.