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3,807 Branch Examiner Jobs

Primerica Life Insurance

Branch Examiner

Primerica Life Insurance Tampa, FL
  • Type
    Full-Time

The Branch Examiner administers compliance education to Field Leaders, Field Force Representatives and Office Staff and performs administrative functions in support of Compliance/Audit requirements

Raymond James Financial Incorporated

Sr. Advisor, Compliance, Branch Examination (Position Maybe Virtual)

Raymond James Financial Incorporated Saint Petersburg, FL
  • Type
    Full-Time

... branch examinations of retail brokerage offices throughout the U.S. Exams include reviews of ... Examiner is responsible for detailed documentation of all testing activities, as well as ...

  • Type
    Full-Time

... Plan for Branch Examinations. + Perform Independent Inspections of Citi investment related branches in line with FINRA and NFA related Supervisory requirements and other related key risks ...

Oppenheimer & Co. Inc.

Branch Examiner

Oppenheimer & Co. Inc. New York, NY
  • Type
    Full-Time

The Branch Examiner follows a set of modules from the Branch Examination Program. Requirements: * Four years in Branch Examination * Broker-Dealer compliance or regulatory experience preferred

JPMorgan Chase & Co

Branch Examiner

JPMorgan Chase & Co San Francisco, CA
  • Type
    Full-Time

Performing on-site compliance examinations of broker-dealer and investment advisory business to determine adherence to JPMorgan Securities policies and procedures. * Developing scope, process flows ...

LPL Financial Corp

Branch Examiner

LPL Financial Corp Wilmington, NC
  • Type
    Full-Time

The examiner will consult with branch managers, advisors and support staff and provide direction on maintaining branch offices in accordance with federal and state regulations, FINRA and other SRO ...

Nuclear Regulatory Commission

Senior Reactor Engineer (Examiner Qualified)

Nuclear Regulatory Commission Rockville, MD
  • Type
    Full-Time

... Branch (IOLB). The supervisor is Lauren Nist.The position is in theBargaining Unit with the ... Recommend technically authoritative changes to 10 CFR 55 and the Examiner Standards to enhance the ...

  • Type
    Full-Time

Branch Office Examiner - Houston Who we are American International Group, Inc. (AIG) is a leading global insurance organization. Building on 100 years of experience, today AIG member companies ...

LPL Financial Corp

Branch Manager

LPL Financial Corp Columbia, SC
  • Type
    Full-Time

The Manager, Branch Examinations, is responsible for managing a direct team of examiners that conduct branch exams of financial advisors. These branch exams include independent financial advisors and ...

Stifel Financial

Compliance Associate I - Branch Activities

Stifel Financial Saint Louis, MO
  • Type
    Full-Time

Essential Duties and Responsibilities * Assist with branch examination testing * Perform administrative duties such as updating various databases/spreadsheets and preparing reports * Maintain and ...

  • Type
    Full-Time

Morgan Stanley is seeking a strong candidate for its Wealth Management Branch Examination team. The individual will be responsible for the oversight and independent execution of examinations in ...

Raymond James Financial, Inc.

Manager, Compliance - Branch Exams

Raymond James Financial, Inc. Saint Petersburg, FL
  • Type
    Full-Time

... examiner performance and, on a limited basis, to conduct branch exams. Essential Duties and Responsibilities: Monitors and reviews branch exams conducted by the PCG Branch Exam team. Performs ...

  • Type
    Full-Time

Under the direction of the Branch Manager or Field Leader, Mobile Examiner's primary responsibility is to provide coverage in the field ensuring that mobile exams are completed accurately and on time

Securian Financial Services

Branch Office Examiner (Hybrid)

Securian Financial Services Saint Paul, MN
  • Type
    Full-Time

Branch Office Examiners will visit Securian Financial Services ("SFS") field offices to ensure our advisors are compliant with relevant policies and procedures. Responsibilities include, but are not ...

Forfeiture Support Associates

Records Examiner / Analyst Supporting the USSS

Forfeiture Support Associates Washington, DC
  • Type
    Full-Time

Published Job TitleRecords Examiner / Analyst Supporting the USSSRequisition:22-97Worksite ... The Criminal Investigative Division (CID), Asset Forfeiture Branch (AFB) is responsible for the ...

INTL FCStone Inc

Compliance Officer - Branch Inspections

INTL FCStone Inc Birmingham, AL
  • Type
    Full-Time

Prepares and executes all aspects of assigned branch examinations including traveling onsite * Monitors retail business activities to ensure the firm remains in compliance with its policies and ...

Bank of America

Testing Manager IC

Bank of America Atlanta, GA
  • Type
    Full-Time

Testing Role The role of a GBAM Branch Examiner is unique and requires certain skills/talents in order to perform the role effectively, and in many aspects, independently. Background experience The ...