Examining officer jobs near me - 8 jobs

We're KSM, one of the top 50 largest independent advisory, tax, and audit firms in the United States. But more than our size, it's our people and culture that set us apart. We believe great things happen when people are supported, challenged, and given the freedom to do their very best work. That's why we've built a workplace where your career and personal life can thrive together - where you have the flexibility to manage your time, the resources to grow, and a team that genuinely cares about your success. We've been employee-owned since 2001, giving every team member a stake in our collective success. This ownership mentality fosters a culture of collaboration, curiosity, and excellence - where new ideas are welcomed, different perspectives are valued, and you're encouraged to explore what excites you most. Whether you're expanding your skills, tackling new challenges, or making an impact beyond the office, we provide the resources and support to help you grow in the direction that's right for you. At KSM, your contributions matter - not just to the firm, but to your colleagues, clients, and the communities we serve across the U.S. If you're looking for a place where you can do meaningful work, build lasting relationships, and grow in ways that align with what's most important to you, we'd love to meet you. Noble Consulting Overview: Noble Consulting Services, Inc. (Noble), headquartered in Indianapolis, is a nationwide consulting firm providing a full range of services to insurance regulators. Through our deep experience as former regulators, big-4 managers, and insurance industry professionals, as well as highly motivated recent graduates, we are recognized for our understanding of the insurance regulatory environment. We serve regulators throughout the United States and certain foreign jurisdictions. Position Summary: An Information Technology (IT) Examiner is needed to perform the Information Technology General Controls (ITGC) portion of risk-focused statutory examinations on behalf of state insurance regulators. The IT Examiner will be responsible for planning, scoping, and executing the ITGC portion of an examination which includes evaluating the governance and controls of an insurer's IT environment. The IT Examiner will also be responsible for evaluating cybersecurity risks and controls of subject insurers. An IT Examiner should have sufficient knowledge, background and experience to perform the ITGC portion of a financial examination, which may include, but is not limited to, obtaining certifications such as the Certified Information Systems Auditor (CISA), sponsored by the Information Systems Audit and Control Association (ISACA). Training and professional development opportunities are made available for both industry specific and specialized areas. Responsibilities: General Review and analyze statutory laws, regulations, policies, and procedures as they apply to the IT environment for insurers. Apply the Risk Focused approach in performing IT examinations in accordance with the National Association of Insurance Commissioners (NAIC) Financial Condition Examiners Handbook. Ability to evaluate and leverage work of others, including CPA's and internal auditors, including SOC (System and Organization Controls) reports. Participate in discussions regarding the IT environment and IT controls. Participate in interviews with insurer representatives. Provide support to the Examiner-in-Charge and the examination team related to IT governance and controls. Obtain and maintain skills with TeamMate software and other electronic tools utilized in examinations. Work in an environment with multiple projects and clients. Service clients Exercise professionalism in both written and oral communication. Manage the expectations of the client, insurer, your supervisor and other team members. Provide the client, insurer, and your supervisor with regular status updates. Monitor and meet budgets Work with supervisors to manage timelines and budgets. Provide supervisor advance notice when areas are near completion. Ensure quality of work product Communicate the project objectives and responsibilities of all team members. Perform/review work completed in a timely manner. Identify opportunities for improvements. Identify and work towards resolution of potential issues. Assist other team members as needed. Personal Development Participate in performance reviews with Noble staff and project debriefing. Ensure evaluations are received/administered as per Noble policy. Embrace opportunities to expand responsibility. Expand knowledge of IT audit procedures and sound practices related to the governance and control environment within insurance regulation. Expand knowledge of NIST, HIPAA, SOX/MAR, and ISO Standards. Deliver conclusions and work product Communicate proactively throughout engagements. Provide conclusions in work performed, including summary memos of any findings. Requirements/Qualifications: Bachelors Degree in computer science or information technology. Preferred minimum experience of 2 years evaluating IT governance and controls. Preferred CISA designation or ability to work toward obtaining the CISA designation. Solid communication skills, both verbal and written. We are an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to age, color, sex, sexual orientation, gender identity, disability, genetic information, national origin, race, religion, veteran status, or any other protected category. KSM only accepts resumes directly submitted by a candidate and referrals submitted by current KSM employees. Unsolicited resumes or candidate profiles sent by staffing agencies and fee-based referral services will not be considered outside of a signed KSM vendor contract. KSM will not pay a fee to recruiters or agencies that do not have a signed KSM vendor contract.

Job DescriptionSalary: LCG Advisors is looking for an Experienced ABL Field Examiner to work closely with our clients, including large money-center banks such as JP Morgan Chase, Bank of America, Goldman Sachs, and Regions Bank. Our client base includes private equity firms, financial intermediaries, family offices, and accredited investors. Finance jobs in Tampa with LCG offer a wide variety of benefits through a gratifying and rapidly evolving career. Primary Responsibilities: Conduct due diligence services, including audit engagements, portfolio reviews, and acquisition due diligence for a wide variety of clients Perform on-site or remote engagements as contracted by a bank or lender for clients needing lines of credit ranging from under one million dollars or as much as one billion dollars Conduct audits focused on the companys collateral typically accounts receivable and inventory - by understanding complex concepts or information Input examination findings into excel templates and produce a comprehensive written report for lenders describing the results and listing findings or exceptions Perform professional interaction with clients, including calls and meetings Qualifications: Strong analytical skills with a willingness to learn new things Naturally inquisitive on all topics relating to transactions Excellent verbal and written communication skills Attention to detail Ability to meet strict deadlines Advanced proficiency in Microsoft Office Excel and Word, Monarch, or other data extraction programs Flexibility for occasional travel 2-4 years of relevant work experience preferred ABL experience is desired but not required Competencies: Verbal Skills: Communicates with a vast vocabulary in a variety of settings and can understand the sophisticated language Numeric Ability: Proficient with basic numerical equations and is comfortable with complex calculations resulting in accurate and sophisticated conclusions Fast-Paced: Very active and results-driven with the ability to juggle the demands of several tasks at once Assertiveness: Enjoys influencing others but is still willing to follow directions from someone else when necessary Sociability: Comfortable working alone, but willing to collaborate as part of a team when necessary Decisiveness: Balances timeliness and deliberation but is comfortable making quick decisions when required Independence: Autonomous yet can accept necessary guidance and instruction Judgment: Balances objective information and instincts to make decisions Education: Bachelors Degree in Accounting or Finance; Masters preferred Company Benefits: Competitive Medical Benefits 401(k) plan with employer contributions Unlimited Paid Time Off Flexibility to work from home Paid Family Care Leave Annual Holiday Retreat Professional Development

DEPARTMENT OF ECONOMIC SECURITY Your Partner For A Stronger Arizona. DES works with families, community organizations, advocates and state and federal partners to realize our collective vision: A thriving Arizona. DES serves more than 3 million Arizonans. Our Mission is to strengthen individuals, families, and communities for a better quality of life. EXAMINER TECHNICIAN 2 Job Location: Division of Benefits and Medical Eligibility (DBME) Family Assistance Administration (FAA) Centralized Document Services (CDS) 8620 North 22nd Avenue, Phoenix, Arizona 85021 Posting Details: Salary: $16.0000 / Hourly ($33,280 Annually) Grade: 13 Closing Date: January 20, 2026 Job Summary: Would you like to be part of an amazing team that helps Arizonans thrive? At the Department of Economic Security (DES) we strengthen individuals, families, and communities for a better quality of life. DES is looking for individuals who are committed to service, community, and teamwork. To learn more about DES please visit des.az.gov; or click on the link here to view 'Our DES' video. Come Join the DES Team! The Department of Economic Security, Division of Benefits and Medical Eligibility, is seeking an experienced, highly motivated individual to join our team as an Examiner Technician 2 (ET 2) in Centralized Document Services (CDS). The person in this position prepares client eligibility documents, categorizes using bar-codes, scans, indexes, and uploads documents into the Family Assistance Administration's (FAA's) Document Management System (DMS) via a computer terminal or Multi-Function Printer (MFP) and/or Health-E-Arizona Plus system (HEA Plus). This is an in-office position. The State of Arizona strives for a work culture that affords employees flexibility, autonomy, and trust. Across our many agencies, boards, and commissions, many State employees participate in the State's Remote Work Program and are able to work remotely in their homes, in offices, and in hoteling spaces. All work, including remote work, should be performed within Arizona unless an exception is properly authorized in advance. Job Duties: Essential Duties and Responsibilities include, but are not limited to: * Review documents/applications received from local offices and potential clients to ensure they are completed, date stamped, researched in FAA's automated system, OnBase, Arizona Technical Eligibility Computer System (AZTECS) and/or Health-E-Arizona plus (HEA Plus); register for appropriate program(s); index appropriate screens into FAA's Document Management System, OnBase, AZTECS and/or HEA Plus or prepare for scanning, and place in appropriate system. * Upload documents into the FAA's Document Management System (OnBase) via computer terminal or MFP. Validate all documents that are scanned, and re-index documents scanned to the incorrect eligibility type. * Set alerts and index Arizona Supplemental Nutrition Assistance Program (SNAP) notices. Upload change reports, correct the address in the system, and document Case Documentation (CADO). Indicate any changes to the client's households as indicated on the Mid Approval Contact form. Submit a client request for appeals through HEA Plus or send the case to the Office of Inspector General (OIG) for review. * Pick up return mail, open, date stamp, sort, prepare, research FAA's automated system (OnBase), AZTECS, and/or HEA Plus, prepare documents for scanning, set alerts, and/or send emails if appropriate. Ensure all documents are translated into English. Ensure all documents sent over by other agencies are reviewed thoroughly and are disseminated to the appropriate queues. Answer the telephone, screen the calls, and refer to the appropriate person and/or office following administration and office/unit guidelines, which may require translation services or bilingual speaking staff. * May serve as a lead to monitor or assist with monitoring of schedules, workflow, assist with educating staff on work functions, gather and compile data, and submit reports accurately and timely. Based on the queues worked, may require separating and uploading documents to the correct document type(s) and/or case(s). Requires research of OnBase, HEA Plus, and AZTECS. Knowledge, Skills & Abilities (KSAs): Knowledge of: * Basic knowledge of program rules, regulations, policies, and procedures. * Imaging equipment (scanner, Multi-Function Printer, terminal, etc.) * Computer software programs (Microsoft Word, Excel, Google Suite, Google Docs, Google Sheets). Skills in: * Good listening, oral, and written communication skills. * Establish and maintain effective working relationship skills. * Effective time management and organizational skills. Ability to: * Compile data and complete reports accurately and in a timely manner. * Multi-task and prioritize. * Apply policies and procedures accurately and timely. Selective Preference(s): The ideal candidate for this position will have: * Computer experience and Customer Service Experience in an office setting. Pre-Employment Requirements: * If this position requires driving or the use of a vehicle as an essential function of the job to conduct State business, then the following requirements apply: Driver's License Requirements. * Successfully pass background and reference check; employment is contingent upon completion of the above-mentioned process and the Agency's ability to reasonably accommodate any restrictions. * All newly hired State employees are subject to and must successfully complete the Electronic Employment Eligibility Verification Program (E-Verify). Benefits: The Arizona Department of Economic Security offers a comprehensive benefits package to include: * Affordable medical, dental, life, and short-term disability insurance plans * Participation in the Arizona State Retirement System (ASRS) and long-term disability plans * 10 paid holidays per year * Vacation time accrued at 4.00 hours bi-weekly for the first 3 years * Paid Parental Leave-Up to 12 weeks per year paid leave for newborn or newly-placed foster/adopted child (pilot program). * Sick time accrued at 3.70 hours bi-weekly * Deferred compensation plan * Wellness plans * Tuition Reimbursement * Stipend Opportunities * Infant at Work Program * Rideshare and Public Transit Subsidy * Career Advancement & Employee Development Opportunities * Flexible schedules to create a work/life balance By providing the option of a full-time or part-time remote work schedule, employees enjoy improved work/life balance, report higher job satisfaction, and are more productive. Remote work is a management option and not an employee entitlement or right. An agency may terminate a remote work agreement at its discretion. Learn more about the Paid Parental Leave pilot program here. For a complete list of benefits provided by The State of Arizona, please visit our benefits page Retirement: State employees are required to participate in the Arizona State Retirement System (ASRS), the State sponsored retirement contribution plan and the Long-Term Disability (LTD) program after a 27-week waiting period. The ASRS defined benefit plan provides for life-long income upon retirement. You will also have the option to participate in a voluntary deferred compensation program to take advantage of tax-deferred retirement investments. On, or shortly after, your first day of work you will be provided with additional information about the available insurance plans, enrollment instructions, submission deadlines and effective dates. Contact Us: For questions regarding this career opportunity, please contact Alex Rivera at ************ or *************************. The State of Arizona is an Equal Opportunity/Reasonable Accommodation Employer. Persons with a disability may request a reasonable accommodation such as a sign language interpreter or an alternative format by contacting ************ or *************************. Requests should be made as early as possible to allow time to arrange the accommodation.

Are you looking to make an impactful difference in your work, yourself, and your community? Why settle for just a job when you can land a career? At ICW Group, we are hiring team members who are ready to use their skills, curiosity, and drive to be part of our journey as we strive to transform the insurance carrier space. We're proud to be in business for over 50 years, and its change agents like yourself that will help us continue to deliver our mission to create the best insurance experience possible. Headquartered in San Diego with regional offices located throughout the United States, ICW Group has been named for ten consecutive years as a Top 50 performing P&C organization offering the stability of a large, profitable and growing company combined with a focus on all things people. It's our team members who make us an employer of choice and the vibrant company we are today. We strive to make both our internal and external communities better everyday! Learn more about why you want to be here! PURPOSE OF THE JOB The purpose of this job is to manage new Workers' Compensation losses for the first 10 days of the life of the claim. This job takes necessary steps to assess and summarize new losses, prepare an action plan, set diaries, and reserve the file, all in preparation for assigning the file to an examiner for permanent handling. ESSENTIAL DUTIES AND RESPONIBILITIES Administers benefits to injured workers in accordance with statutory and case law as well as pertinent regulations for the first 10 days of the claim. Represents the Workers' Compensation Department and ICW Group when interacting with injured workers. Communicates with insureds to obtain information necessary for processing claims. Contacts and/or interviews injured workers, doctors, medical specialists, attorneys, and employers to get additional information. Communicates claim activity and processing with the injured worker and insured. Maintains professional client relationships. Communicates effectively with other Company departments. Creates reserves in a timely manner to ensure reserving activities are consistent with company standards and best practices guidelines. Manages complex claims and approves payment of benefits within higher designated authority level. Assesses claims fairly and equitably, acting in the best interest of all parties and providing benefits as prescribed by law. Ensures claim files are properly documented and claims coding is correct. Refers cases as appropriate to supervisor and management. Prepares an action plan and set diaries, in preparation for assigning the file to an examiner for permanent handling. Assists with special projects and development of more junior team members as needed. SUPERVISORY RESPONSIBILITIES This role does not have supervisory responsibilities but may mentor and/or train junior team members. EDUCATION AND EXPERIENCE High school diploma or general education degree (GED) required. Bachelor's degree from four-year college or university preferred. Minimum of 2-3 years of insurance or claims related experience, or equivalent combination of education and experience required. Minimum 1-2 years of workers' compensation claims experience required. CERTIFICATES, LICENSES, REGISTRATIONS California Only : All examiners must receive certification that meets the minimum standards of training, experience, skill, and further education as required. California Only: California Workers' Compensation Claims Administration (WCCA) and Workers' Compensation Claim Professional (WCCP) certifications preferred. All other jurisdictions: State Workers' Compensation License as required. KNOWLEDGE AND SKILLS Understanding of laws and jurisdictional restraints to manage injuries. Excellent verbal and written communication skills, time management and organizational skills. Requires a high level of attention to detail. Team oriented and a sense of urgency for execution. Able to resolve conflicts fairly and equitably. Problem solving and decision-making ability, PHYSICAL REQUIREMENTS Office environment - no specific or unusual physical or environmental demands and employees are regularly required to sit, walk, stand, talk, and hear. WORK ENVIRONMENT This position operates in an office environment and requires the frequent use of a computer, telephone, copier, and other standard office equipment. We are currently not offering employment sponsorship for this opportunity #LI-ET1 #LI-Hybrid The current range for this position is $61,979.26 - $97,736.56 This range is exclusive of fringe benefits and potential bonuses. If hired at ICW Group, your final base salary compensation will be determined by factors unique to each candidate, including experience, education and the location of the role and considers employees performing substantially similar work. WHY JOIN ICW GROUP? Challenging work and the ability to make a difference You will have a voice and feel a sense of belonging We offer a competitive benefits package, with generous medical, dental, and vision plans as well as 401K retirement plans and company match Bonus potential for all positions Paid Time Off Paid holidays throughout the calendar year Want to continue learning? We'll support you 100% ICW Group is committed to creating a diverse environment and is proud to be an Equal Opportunity Employer. ICW Group will not discriminate against an applicant or employee on the basis of race, color, religion, national origin, ancestry, sex/gender, age, physical or mental disability, military or veteran status, genetic information, sexual orientation, gender identity, gender expression, marital status, or any other characteristic protected by applicable federal, state or local law. ___________________ Job Category Claims

Who are we? Howden is a global insurance group with employee ownership at its heart. Together, we have pushed the boundaries of insurance. We are united by a shared passion and no-limits mindset, and our strength lies in our ability to collaborate as a powerful international team comprised of 23,000 employees spanning over 56 countries. People join Howden for many different reasons, but they stay for the same one: our culture. It's what sets us apart, and the reason our employees have been turning down headhunters for years. Whatever your priorities - work / life balance, career progression, sustainability, volunteering - you'll find like-minded people driving change at Howden. About the role: DUAL North America, Inc. is seeking a Sr. Claims Adjuster to join its subsidiary group, DUAL Claims Services. This position can be fully remote or hybrid. This individual will handle moderate to high exposure commercial auto and general liability claims involving bodily injury and property damage, with an emphasis on excess exposures. Essential Functions: Exercises proper judgment and decision making to analyze the claims exposure, to determine the proper course of action and to appropriately settle the claim Understanding and issuance of Reservation of Rights, Denial and general coverage position letters Interacts extensively with various parties involved in the claim process Utilize critical thinking and solid judgment to solve problems, make decisions and resolve issues inherent in handling losses, as well as plan and organize activities throughout the claims management process Successfully negotiate the settlement and disposition of bodily injury and property damage claims; interpret related claims documentation Documents and communicates all claim activities timely and effectively and in a manner which supports the outcome of the claim file Handles claims consistent with NBIS client and corporate policies, procedures and "Best Practices", and also in accordance with any statutory, regulatory and ethics requirements Performs other duties as assigned Job Requirements (education, experience, skills): College graduate and/or applicable insurance industry training and/or experience. Five (5) years of Claims Examiner experience is required; Ten (10) or more years is preferred with a consistent high level of performance and achievement in handling commercial auto and general liability bodily injury and property damage claims. Excellent oral and written communication skills Excellent customer service and negotiation skills Understanding of the unique insurance needs of the market Exceptional interpersonal skills Attention to detail Ability to multitask Strong organizational skills Knowledge of MS Office applications, related claims and business software If you do not meet all the qualifications for this role, we still encourage you to apply, as we are always looking for diverse talent to join our growing team. What we offer: A career that you define. Yes, we offer all the usual rewards and benefits - including medical, dental, vision, a wide variety of wellbeing offers, competitive salary, unlimited PTO, 401k with company match, paid volunteer days and more. We provide an environment where new ideas are encouraged and celebrated, where people who want to have a real hand in our success thrive. We want people who want to make a difference - not just in the workplace, but in the industry and in the wider community. About DUAL NA: DUAL is the leading underwriting organization in the US and part of an international insurance organization with operations in 45 countries across the world. DUAL offers commercial property, casualty, financial lines, and personal property insurance products underwritten through several specialized subsidiaries. Since 2013, we have grown to over 500 employees in 14 offices across the US, and we are continuing to grow. DUAL is committed to building a balanced business and contributing to a sustainable world. At DUAL, we believe our people are our greatest assets, espousing entrepreneurialism, and innovation in an environment where new insights are encouraged. Our culture: People First Our core values dictate how we live and work. We are a group with independence and people at its heart and we are a home for talent with a unique culture: the biggest small company in the world. The focus on being a People First business has always been at the very heart of the Group; Our vision was to create an independent business with a unique culture and one that would survive and thrive as a business controlled by the people working for it. And finding the most talented and entrepreneurial people to join the Group has been and will continue to be key. EEO Statement: We consider our people our chief competitive advantage and as such we treat colleagues, candidates, clients, and business partners with equality, fairness, and respect. DUAL North America provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state, or local laws. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation, and training. DUAL will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. What do we offer in return? A career that you define. At Howden, we value diversity - there is no one Howden type. Instead, we're looking for individuals who share the same values as us: Our successes have all come from someone brave enough to try something new We support each other in the small everyday moments and the bigger challenges We are determined to make a positive difference at work and beyond Reasonable adjustments We're committed to providing reasonable accommodations at Howden to ensure that our positions align well with your needs. Besides the usual adjustments such as software, IT, and office setups, we can also accommodate other changes such as flexible hours* or hybrid working*. If you're excited by this role but have some doubts about whether it's the right fit for you, send us your application - if your profile fits the role's criteria, we will be in touch to assist in helping to get you set up with any reasonable adjustments you may require. *Not all positions can accommodate changes to working hours or locations. Reach out to your Recruitment Partner if you want to know more. Permanent

LCG Advisors is looking for an Experienced ABL Field Examiner to work closely with our clients, including large money-center banks such as JP Morgan Chase, Bank of America, Goldman Sachs, and Regions Bank. Our client base includes private equity firms, financial intermediaries, family offices, and accredited investors. Finance jobs in Tampa with LCG offer a wide variety of benefits through a gratifying and rapidly evolving career. Primary Responsibilities: Conduct due diligence services, including audit engagements, portfolio reviews, and acquisition due diligence for a wide variety of clients Perform on-site or remote engagements as contracted by a bank or lender for clients needing lines of credit ranging from under one million dollars or as much as one billion dollars Conduct audits focused on the company's collateral - typically accounts receivable and inventory - by understanding complex concepts or information Input examination findings into excel templates and produce a comprehensive written report for lenders describing the results and listing findings or exceptions Perform professional interaction with clients, including calls and meetings Qualifications: Strong analytical skills with a willingness to learn new things Naturally inquisitive on all topics relating to transactions Excellent verbal and written communication skills Attention to detail Ability to meet strict deadlines Advanced proficiency in Microsoft Office Excel and Word, Monarch, or other data extraction programs Flexibility for occasional travel 2-4 years of relevant work experience preferred ABL experience is desired but not required Competencies: Verbal Skills: Communicates with a vast vocabulary in a variety of settings and can understand the sophisticated language Numeric Ability: Proficient with basic numerical equations and is comfortable with complex calculations resulting in accurate and sophisticated conclusions Fast-Paced: Very active and results-driven with the ability to juggle the demands of several tasks at once Assertiveness: Enjoys influencing others but is still willing to follow directions from someone else when necessary Sociability: Comfortable working alone, but willing to collaborate as part of a team when necessary Decisiveness: Balances timeliness and deliberation but is comfortable making quick decisions when required Independence: Autonomous yet can accept necessary guidance and instruction Judgment: Balances objective information and instincts to make decisions Education: Bachelor's Degree in Accounting or Finance; Masters preferred Company Benefits: Competitive Medical Benefits 401(k) plan with employer contributions Unlimited Paid Time Off Flexibility to work from home Paid Family Care Leave Annual Holiday Retreat Professional Development

What is the opportunity? The Branch Inspection Program is one pillar of the IMBD Central Compliance team responsible for reviewing for compliance with FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27, and various internal Firm policies and procedures. The Program reviews for compliance across four broker-dealers within the RBC umbrella: RBC Capital Markets LLC (encompasses both retail and institutional businesses), RBC CMA Ltd., City National Securities, Inc., and CNR Securities, LLC (latter two herein, "CNB broker-dealers"). This team may also participate in special projects within the Central Compliance team and contribute to its overall reporting. This is a remote opportunity open to hiring in Florida or surrounding states, or Colorado or surrounding states. What will you do? Branch Inspections: * Utilizing both on-site and virtual inspections, the Examiner is expected to complete numerous inspections per year of various Firm locations across the Wealth Management and Capital Markets divisions of RBCCM, LLC and CNB broker-dealers. This includes traveling by air and/or car to certain locations sporadically throughout the month. * Conduct virtual/on-site inspections to detect instances of policy violations in a variety of areas, which include, but are not limited to, information barriers, off-channel communications, safeguarding of information, conflicts of interest, privacy incidents, recordkeeping, etc. * Lead discussions, either in-person or virtually, with applicable branch or location personnel, summarize reviews in a written final report, maintain appropriate documentation to support reviews and findings/issues, and escalate any areas where concerns were noted. The final report will be distributed to business stakeholders, inclusive of senior management, and may require presentations by the examiner. * Contribute/generate ideas for enhancements to the Program by leveraging industry research, holding discussions with LOB Compliance Advisory teams, and other methods. * Responsible for training offshore examiners, and new examiners, on branch inspection policies, procedures, practices, and business lines across Wealth Management, Capital Markets, and CNB broker-dealers. * Review work performed by offshore examiners, to verify accuracy and completion, and to assist in the planning of their on-site and virtual inspections. * Lead and collaborate with Remote Examiners dispersed across various time zones to complete virtual inspections. Central Compliance and FINRA Pilot Program Reporting * Contribute content updates to branch questionnaires and inspection review scripts for the on-site and virtual programs and action the updates where necessary. * Assist in the maintenance of required periodic risk assessment outputs to determine if a location (brick-and-mortar, non-registered location, secondary residence, and RSL) is eligible for a remote, on-site, and/or unannounced inspection. * Organize risk assessment inputs from various stakeholders (i.e., Securities Registration team, Employees Disclosures Group, Compliance Advisory teams, and 1LOD stakeholders) and apply the utilization of such to models as directed. * Participate in the 2025 internal build of the new registrations surveillance system to ensure branch team attributes are incorporated, which will assist with future inspection tracking and reporting. * Assists in the development of IMBD Central Compliance reporting to demonstrate branch inspection progress, findings, relevant Securities Registrations and Insurance metrics, and trend analyses to be shared with senior stakeholders. Special Projects: * Willing to assist with special projects as they arise. Examples include, but are not limited to, relevant investigations, complaints, escalations, Regulatory Compliance Management (RCM), etc. What do you need to succeed? Must-have * Bachelor's Degree * 5-7 or more years of experience in banking compliance * Knowledge of FINRA (particularly Rule 3110), SEC, and MSRB expectations, rules, and regulations * Familiarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer. * Experience in roles in any of the following areas: Compliance Testing, Quality Assurance, Branch Inspections, Surveillance, and/or Internal Audit. Nice-to-have * Masters or Law School Degree * Any FINRA Registrations (Series 7, 24, etc.) What's in it for you? We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual. * A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off. * Leaders who support your development through coaching and managing opportunities. * Ability to make a difference and lasting impact. * Work in a dynamic, collaborative, progressive, and high-performing team. * Opportunities to do challenging work * Opportunities to build close relationships with clients. For Colorado: The expected salary range for this particular position is $70,000-130,000 depending on your experience, skills, and registration status, market conditions and business needs. You have the potential to earn more through RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals. RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that: * Drives RBC's high-performance culture * Enables collective achievement of our strategic goals * Generates sustainable shareholder returns and above market shareholder value Job Skills Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking Additional Job Details Address: 100 2ND AVENUE SOUTH, # 800:ST. PETERSBURG City: St. Petersburg Country: United States of America Work hours/week: 40 Employment Type: Full time Platform: CHIEF LEGAL & ADMIN OFFICE GRP Job Type: Regular Pay Type: Salaried Posted Date: 2025-11-21 Application Deadline: 2026-01-30 Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above Inclusion and Equal Opportunity Employment At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all. Join our Talent Community Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you. Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com. RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.