ZipRecruiter

Log In

2

Remote Finra Examiner Jobs (NOW HIRING)

FBL Financial Group

Compliance Field Advisor

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

This is a remote position. While not required, preferred locations include CO, IA, MN, NE, SD, UT ... As a Compliance Field Advisor, you will prepare written reports of the office examination for ...

Raymondjames

Senior Registered Virtual Client Service Associate

$19.75 - $27/hr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

... Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) Travel Less than 25% Workstyle Remote The ...

Farther

Senior Regional Compliance Associate

Irving, TX · On-site +1

  • Medical

  • Retirement

  • PTO

Comprehensive knowledge of FINRA and SEC rules and regulations * High attention to detail, sound ... branch examination experience * Track record working with distributed or remote advisor teams ...

Alpaca

Financial Operations Principal

New York, NY · On-site +1

Lead FINRA and SEC examinations, financial audits, and regulatory inquiries * Coordinate the firm ... Ability to work independently in a remote environment while partnering effectively across teams

Farther

Senior Regional Compliance Associate

Irving, TX · On-site +1

  • Medical

  • Retirement

  • PTO

Comprehensive knowledge of FINRA and SEC rules and regulations * High attention to detail, sound ... branch examination experience * Track record working with distributed or remote advisor teams ...

Farther

Senior Regional Compliance Associate

Irving, TX · On-site +1

Comprehensive knowledge of FINRA and SEC rules and regulations * High attention to detail, sound ... branch examination experience * Track record working with distributed or remote advisor teams ...

TradeStation

Sr. AML Investigator

$100K - $110K/yr

  • PTO

#WeAreTradeStation Remote Position - must reside in Florida, Texas, Illinois, New York, New Jersey ... Deep understanding of AML regulations, security industry typologies and FINRA/SEC compliance

TradeStation Group, Inc.

Sr. AML Investigator

$100K - $110K/yr

  • PTO

#WeAreTradeStation Remote Position - must reside in Florida, Texas, Illinois, New York, New Jersey ... Deep understanding of AML regulations, security industry typologies and FINRA/SEC compliance

Ameritas

Manager, Investment Operations

Lincoln, NE · On-site +1

  • Medical

  • Dental

  • Vision

  • Retirement

  • PTO

This role can be hybrid (Lincoln, NE or Cincinnati, OH) or fully remote for the right candidate ... FINRA series 7 and 24 are required. * FINRA Series 66 or 63 & 65 are preferred. * Experience in ...

previous pagenext page

Showing results 21-40

All JobsFinra Examiner JobsRemote Finra Examiner Jobs

Remote Finra Examiner information

See salary details

$33.5K

$61.4K

$99K

How much do remote finra examiner jobs pay per year?

As of Aug 16, 2026, the average yearly pay for remote finra examiner in the United States is $61,362.00, according to ZipRecruiter salary data. Most workers in this role earn between $48,000.00 and $69,500.00 per year, depending on experience, location, and employer.

What cities are hiring for Remote Finra Examiner jobs?

Cities with the most Remote Finra Examiner job openings:

What are the most commonly searched types of Finra Examiner jobs?

The most popular types of Finra Examiner jobs are:

What states have the most Remote Finra Examiner jobs?

States with the most job openings for Remote Finra Examiner jobs include:

Remote Finra Examiner jobs near you
Infographic showing various Remote Finra Examiner job openings in the United States as of August 2026, with employment types broken down into 94% Full Time, and 6% Part Time. Highlights an 80% Physical, 7% Hybrid, and 13% Remote job distribution, with an average salary of $61,362 per year, or $29.5 per hour.

Senior Advisor, Compliance PCG Branch Exams (Remote Nationwide)

Raymond James Financial, Inc.

New York, NY • On-site, Remote

$75K - $95K/yr

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 2 days ago

Job description

Job Description Summary
Under administrative direction, uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage offices throughout the U.S. Exams include reviews of various supervisory systems, setting and circumstances of the physical location, onsite files, related documentation, and employee interviews to ensure adherence with firm policies, procedures, and guidance, as well as federal and state rules and regulations. Examiner is responsible for detailed documentation of all testing activities, as well as communication of the testing results to the branches.
Job Description
Essential Duties and Responsibilities
  • Execution of the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country
  • Detailed documentation of testing in branch exam system and related work papers
  • Ensure prescribed sample methodologies are used and resulting sample sizes provide an adequate reflection of the activity being tested
  • Use professional judgement to know when to "ask the next question" as potential risk areas are identified
  • Apply the appropriate risk weight to a given testing activity and/or finding level
  • Clear communication of all exam findings to branch management, exam managers and compliance leadership
  • Provide reporting of exam findings and complete any related follow up in a timely manner
  • Ensure risks and adverse trends are identified and escalated
  • Provide compliance support to business partners, as needed
  • Maintain regular interaction with Compliance and Supervision partners
  • Complete special and ad hoc reviews and projects, as identified, in a quality and timely manner
  • Provide guidance and mentoring to less-experienced peer group members

Knowledge, Skills, and Abilities
Advanced knowledge of:
  • Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams
  • Rules and regulations of the SEC, FINRA, and state securities regulatory agencies
  • Fundamental investment concepts, practices, and procedures used in the securities industry
  • Financial markets and products

Skill in:
  • Thorough and balanced documentation of work product
  • Clear, concise, cross-functional communications, both written and oral
  • Identification of opportunities for the development, enhanced consistency, and ongoing maintenance of the branch exam program
  • Building strong relationships based on mutual respect, trust, and understanding
  • Establishing credibility with others, presenting oneself with confidence, and holding one's ground when faced with pushback
  • Delivering difficult messages with sensitivity, tact, and diplomacy
  • Proactive identification of emerging risk areas and/or adverse trends and escalations of same to exam management for suggestions on mitigation
  • Problem-solving in a complex environment
  • Effectively navigating the organization to obtain information and achieve objectives
  • Demonstrated proficiency in Microsoft Word and Excel

Ability to:
  • Work under pressure on multiple tasks concurrently in a fast-paced work environment
  • Manage time exceptionally well and remain highly organized
  • Gain a thorough understanding and application of PCG policies and procedures
  • Shift focus from one activity to another without impacting the quality of the work
  • Constructively handle disagreements or conflicts to reach a resolution
  • Apply industry experience to proactively identify and anticipate existing and emerging compliance risks
  • Work well independently, but also collaboratively with the team

Educational/Previous Experience Requirements:
  • Bachelor's degree (B.A. /B.S.) and a minimum of three (3) years of licensed examination experience.

~or~
  • Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications:
• Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe.
o Required to have a Series 7, 24 or willing to obtain within 120 days of employment
o Series 9 and 10 can be used instead of the 24
• Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.
Education
Work Experience
Certifications
Salary Range
$75,000.00-$95,000.00
Travel
Up to 50%
Workstyle
Remote
The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.
At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
We expect our associates at all levels to:
• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm
At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
#LI-AF1

Apply