Compliance Examiner Jobs description
A compliance examiner job involves conducting announced and unannounced branch inspections of offices and branch offices to determine compliance with securities regulations and the applicable firm policies and procedures on periodical basis. A compliance examiner will be responsible for developing and maintaining the branch audit schedule. A compliance examiner will educate and train the field force as well as the home office staff on compliance and audit related issues; and will also develop and continuously improve the audit documents and procedures.A compliance examiner job requires a bachelor's degree in business related field or equivalent experience. Experience of 3+ years in similar industry is usually desired. A compliance examiner should possess excellent oral and written communication skills, strong analytical skills, and ability to meet deadlines in a fast paced environment.
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