Register
Recruit Create CV
Unfortunately, this job posting is expired.
Don't worry, we can still help! Below, please find related information to help you with your job search.
Related keywords
Some similar recruitments
Relationship Manager- Multiple Employer Plans
Recruited by Empower 8 months ago Address United States
Bank Teller Jobs
Recruited by UnifyWork 9 months ago Address , Cleveland
Fitness Reimbursement Examiner I (Remote, $14/Hr)
Recruited by American Specialty Health 9 months ago Address United States
Nfip Flood Examiner Jobs
Recruited by RYZE Claim Solutions 10 months ago Address United States
Bank Marketing Associate Jobs
Recruited by Partnership Employment 10 months ago Address United States
Qa Examiner - Ryze Reviewer Network
Recruited by RYZE Claim Solutions 10 months ago Address United States
Branch Compliance Examiner / Finra
Recruited by Atria Wealth Solutions 11 months ago Address United States
Internal Fraud Examiner Jobs
Recruited by TrueBlue Inc. 11 months ago Address United States
Zoning Inspector Jobs
Recruited by Horry County Government 11 months ago Address , Conway, 29528, Sc $38,313 a year
Leave & Disability Examiner (Remote)
Recruited by The Standard 1 year ago Address United States
Lead, Credential Examiner (Remote)
Recruited by American Specialty Health 1 year ago Address United States
Bank Partner Coordinator Jobs
Recruited by Momnt 1 year ago Address United States
Research Examiner Wfh ($21.95 - $31.84 / Hour)
Recruited by Talentify.io 1 year ago Address United States

Branch Examiner Jobs

Company

Partnership Employment
Address United States
Employment type FULL_TIME
Salary
Category Capital Markets,Financial Services
Expires 2023-07-22
Posted at 11 months ago
Job Description

Responsibilities:

  • 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
  • Maintain regular interaction with Compliance and Supervision partners
  • Candidate will perform the execution of the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country
  • Apply the appropriate risk weight to a given testing activity and/or finding level
  • Branch Examiner will show documentation & communication of all exam findings to management
  • Prepare detailed work papers to support the results of the program and provide communication to senior management
  • Complete special and ad hoc reviews and projects, as identified, in a quality and timely manner
  • Provide compliance support to business partners, as necessary
  • Provide guidance and mentoring to less-experienced peer group members
  • Provide reporting of exam findings and complete any related follow up in a timely manner