Senior Compliance Examiner – Branch Exams (Remote)

Raymond James; United States; Remote; USD 75,000 - 95,000; Full time

Job summary

Raymond James is seeking an examiner to conduct on-site branch examinations of retail brokerage offices across the United States. The role requires applying knowledge of SEC/FINRA rules, documenting testing activities, and communicating findings to branch management and compliance leadership.

The ideal candidate holds a bachelor’s degree, at least three years of licensed examination experience, and licenses such as Series 7/24 or Series 9/10.

Qualifications

• Bachelor’s degree (B.A./B.S.) and a minimum of three years of licensed examination experience.
• Appropriate series licenses (Series 7 and 24, or Series 9/10 as alternative) within the specified timeframe.
• Strong knowledge of SEC/FINRA rules and broker/dealer compliance.
• Excellent documentation and communication skills.

Responsibilities

• Execute the risk-based branch exam program nationwide.
• Document testing in the branch exam system and prepare work papers.
• Apply prescribed sample methodologies and ensure adequate reflection.
• Communicate exam findings clearly to branch management and compliance leadership.
• Provide timely reporting and follow-up on exam findings.
• Escalate risks and adverse trends as appropriate.
• Provide compliance support to business partners.
• Mentor less-experienced peers.

Skills

Regulatory knowledge

Attention to detail

Communication

Education

Bachelor’s degree (B.A./B.S.)

3 years licensed examination experience

Tools

Series 7

Series 24

Series 9/10

Job description

Raymond James is seeking an examiner to conduct on-site branch examinations of retail brokerage offices across the United States. The role requires applying knowledge of SEC/FINRA rules, documenting testing activities, and communicating findings to branch management and compliance leadership.

The ideal candidate holds a bachelor’s degree, at least three years of licensed examination experience, and licenses such as Series 7/24 or Series 9/10.