Equitable
Richmond, VA
Equitable is seeking a seasoned Compliance Examiner to conduct risk-based examinations of NSBOs and non-branch locations, per FINRA Rule 3110, SEC/FINRA policies, and firm procedures. You will perform onsite and remote reviews and prepare working papers documenting findings.
You will collaborate with Compliance, Legal, Risk Management, and Operations to address findings and improve examination methodologies.
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