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United States
The Compliance Analyst – Branch Exams conducts audits of broker‑dealer and advisory branch offices to assess compliance with FINRA, SEC, and applicable state regulatory requirements, as well as firm policies and procedures. This role plays a critical part in building trusted partnerships between the Audit team, firm leadership, field supervisors, and financial professionals. This position reports directly to an Audit Manager and is fully remote, with periodic travel required.
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Collected from the employer's own careers site (Oracle). Posted 27 Aug 2026. TUNAI shows an excerpt and the facts it read from the advert; the employer's page has the full description and the application.
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