Senior Compliance Examiner – Remote Branch Exams

100 Raymond James & Associates, Inc.; New York (NY); Hybrid; USD 75,000 - 95,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

Life insurance

Critical illness insurance

Disability benefits

Retirement savings

Paid time off

Parental leave

Job summary

Raymond James is seeking an experienced examiner to conduct onsite branch examinations of retail brokerage offices across the United States. You will document testing activities, assess supervisory systems, and communicate findings to management and compliance leadership.

The role requires 3+ years of licensed examination experience or equivalent, a Bachelor’s degree, and the ability to travel up to 50%. You will support special reviews and mentor junior team members while maintaining firm

Qualifications

• Bachelor’s degree and a minimum of three years of licensed examination experience or equivalent
• Advanced knowledge of securities industry concepts, broker/dealer compliance and branch exams
• Strong documentation and reporting skills required

Responsibilities

• Execute risk-based branch exams across U.S. non-registered and FINRA-registered branches
• Document testing activities and outcomes in branch exam system and work papers
• Communicate exam findings to branch management and compliance leadership
• Provide guidance and mentoring to less-experienced team members
• Travel up to 50% and support special reviews and projects

Skills

Securities industry knowledge

Strong interviewing

Documentation accuracy

Communication skills

Professional judgement

Education

Bachelor’s degree

Tools

Microsoft Word

Microsoft Excel

Job description

Raymond James is seeking an experienced examiner to conduct onsite branch examinations of retail brokerage offices across the United States. You will document testing activities, assess supervisory systems, and communicate findings to management and compliance leadership.

The role requires 3+ years of licensed examination experience or equivalent, a Bachelor’s degree, and the ability to travel up to 50%. You will support special reviews and mentor junior team members while maintaining firm