Principal examiner jobs near me - 14 jobs

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

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.

We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, culture and talent experience and our ability to be compelling to our clients. You'll find an environment that inspires and empowers you to thrive both personally and professionally. There's no one like you and that's why there's nowhere like RSM. Financial Examiner, Examiner-In-Charge (EIC) Risk & Regulatory Consulting, LLC (Regulatory Insurance) Work from home-any US location Position Overview The Financial Examiner, EIC will primarily perform financial examinations and regulatory consulting services for state insurance departments. This position has significant opportunity for advancement as well as personal and professional growth. Specific Duties and Responsibilities Perform risk focused financial examinations to determine solvency and compliance to statutes on behalf of Risk & Regulatory Consulting LLC insurance clients. Perform reviews of examination work papers and evaluate insurance company operations. Serve as Examiner-In-Charge on examinations of significant size and complexity Ensure the integrity of the regulatory system. Assist with the preparation of reports, exhibits, and other supporting schedules that detail a company's solvency, condition and compliance with laws and regulations, and recommend solutions to questionable financial conditions. Responsible for timely submission of draft reports for review. Recommend/document actions to ensure compliance with laws and regulations, or to protect solvency of the company. Provide knowledge and guidance of insurance laws, rules, and regulations. Review and analyze new, proposed, or revised laws, regulations, policies, and procedures in order to interpret their meaning and determine impact to the company. Analyze financial operating statements, reports, and records relating to specific and overall operations of insurance companies; prepare and supervise writing of clear, complete, concise, and informative reports of financial conditions of insurance companies and health care organizations. Consistently enhance knowledge of: principles, practices, techniques, and methods of accounting and auditing; insurance examination and regulation; insurance laws and Insurance Commissioner's rulings; and related Attorney General opinions and court decisions; insurance company practices; statistical sampling procedures; basic actuarial mathematics; principles and practice of effective supervision, insurance companies and health care organizations. Requirements Bachelor's Degree in Accounting or Finance; MBA and/or professional certification/s preferred Minimum 10+ years' experience as a financial examiner serving as EIC on exams of significant size and complexity. Insurance industry experience is a must. Certified Financial Examiner (CFE) is a must, CPA or CPA candidate, and/or Certified Internal Auditor (CIA) or CIA Candidate a plus PC skills, including experience in using software for producing presentations, spreadsheets, and project planning (skilled in TeamMate, ACL/Access, and MS Excel, Word and Power Point) Strong interpersonal, presentation, analytical and examination/audit skills Excellent organizational skills and the ability to prioritize multiple tasks, projects and assignments using effective time management skills Strong written and verbal communication skills are required Dynamic/flexible demeanor with exceptional client service skills Must be self-motivated, work well independently and possess a sense of urgency Skilled in team building and team development Work from home with flexibility to travel Ability to demonstrate ethical and professional standards as outlined by the Firm Risk & Regulatory Consulting, LLC (RRC) was formerly a business segment of RSM US LLP (formerly McGladrey) until 2012 when the separate legal entity was formed. RRC is a strategic business partner with RSM providing actuarial and insurance industry consulting services to RSM clients. Risk & Regulatory Consulting, LLC (RRC) is a national, leading professional services firm dedicated to providing exceptional regulatory services to clients. With over 100 experienced insurance professionals located in 22 states, we believe RRC is uniquely positioned to serve state insurance departments. We offer services in the following regulatory areas: financial examinations, market conduct examinations, insolvency and receiverships, actuarial services and valuations, investment analysis, reinsurance expertise, market analysis and compliance, and special projects. We are a results oriented firm committed to success that builds long term relationships with our clients. RRC is managed by eight partners and our practice includes full time professionals dedicated to our regulatory clients. We are focused on listening to your needs and designing customized examination, consulting, and training solutions that address your needs. We bring multiple service lines together to provide superior and seamless service to our clients. We are committed to training our customers and our team. We have developed various comprehensive in house training programs that have been tailored to meet the needs of our regulatory clients. We offer competitive pricing, outstanding experience, credentials and references. RRC is an active participant in the NAIC, SOFE, and IRES. At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life's demands, while also maintaining your ability to serve clients. Learn more about our total rewards at ************************************************** All applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender; sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at ************ or send us an email at *****************. RSM does not intend to hire entry level candidates who will require sponsorship now OR in the future (i.e. F-1 visa holders). If you are a recent U.S. college / university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate. RSM will consider for employment qualified applicants with arrest or conviction records. For those living in California or applying to a position in California, please click here for additional information. At RSM, an employee's pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range (or starting rate for interns and associates) for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range. Compensation Range: $94,400 - $178,800 Individuals selected for this role will be eligible for a discretionary bonus based on firm and individual performance.

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

At Anchorage Digital, we are building the world's most advanced digital asset platform for institutions to participate in crypto. Anchorage Digital is a crypto platform that enables institutions to participate in digital assets through custody, staking, trading, governance, settlement, and the industry's leading security infrastructure. Home to Anchorage Digital Bank N.A., the first federally chartered crypto bank in the U.S., Anchorage Digital also serves institutions through Anchorage Digital Singapore, Porto by Anchorage Digital, and other offerings. The company is funded by leading institutions including Andreessen Horowitz, GIC, Goldman Sachs, KKR, and Visa, with its Series D valuation over $3 billion. Founded in 2017 in San Francisco, California, Anchorage Digital has offices in New York, New York; Porto, Portugal; Singapore; and Sioux Falls, South Dakota. Learn more at anchorage.com, on X @Anchorage, and on LinkedIn. As a Member of Compliance, Fraud, you will collaborate with leadership to advance Anchorage Digital's blockchain analytics and fraud investigation capabilities. This role entails collaboratively working with the FCC's fraud control tools, identifying and evaluating blockchain-based risks, and spearheading initiatives to enhance the organization's comprehension and utilization of blockchain technology and anti-fraud technology. The role also entails working with Digital Asset and Fiat Data. This role merges technical expertise with strategic foresight to guarantee effective blockchain data management, Fiat activity, and the recognition of emerging trends and risks within the digital asset ecosystem. The role is essential to the Bank's defense against money laundering, terrorist financing and fraud, as well as the expansion of the Global FCC Model.Technical Skills: Demonstrates expert advisory support across multiple teams, ensuring that the organization remains resilient against blockchain-based financial crimes and adheres to evolving regulatory requirements. SAR form completion and filing expertise Provides investigative/analytic support for complex, technical, and/or highly sensitive investigations and initiatives across the FCC functional teams. Partners with the FCC functional teams to accurately apply attribution to entities behind cryptocurrency addresses and contracts in support of the FCC and serviced entities. Develops and delivers training materials and sessions to internal teams to improve awareness and understanding of blockchain technology, compliance issues, and emerging risks. Utilizes blockchain analytics tools to trace the flow of digital assets across multiple networks and identify bad actors. Continuously monitors and conducts in-depth analysis of digital asset and Fiat data to uncover patterns, trends, and suspicious activities across blockchain networks and Banking partners. Provides technical analysis for high-risk escalations to assess findings beyond initial flags and/or risk indicators. Complexity and Impact of Work: Capable of navigating challenges and exercising expert judgment in the selection of processes, techniques, and criteria for obtaining efficient results, working diligently in a fast paced environment where change in prioritization is fluent. Provides expert advice and support to compliance, legal, and regulatory teams on investigations related to digital assets, Fiat, risk mitigation strategies, and the Digital Asset Support Framework. Works with FCC leadership to boost operational efficiency and scale through strategic alignment, process improvements, technical integration, automation, knowledge transfer, training, risk mitigation, compliance, proactive insights, and adaptability. Offers expert guidance and support the development, implementation, and enhancement of digital asset compliance programs and controls to align with international AML and CTF standards, ensuring compliance with evolving regulations concerning digital assets, DeFi, and VASPs, across global operations. Assists in creating policies and procedures for monitoring and reporting suspicious digital asset activities, and assist the Financial Crime Compliance Teams in reviewing secondary market risk of Bank-issued stablecoins, internal attribution, and TRM Labs blockchain analytics alerts, as needed. Assists in conducting QC work of L1 Analyst reviews. Independently completes projects within the team with minimal supervision from leadership, including collaborating tasks among team members. Consistently demonstrates on-time delivery and high quality work product. Where a deadline or commitment is at risk, escalates to manager to help manage priorities, if appropriate, and alerts affected stakeholders so "no surprises." Organizational Knowledge: Is aware of the strategy of Anchorage Digital to guarantee its successful implementation and is considered when defining the planning and goals of the team. Has a deep understanding of Anchorage Digital's objectives and works with leadership to ensure regulatory compliance is being met. Ensures that knowledge is shared amongst Anchorage Digital, and more specifically, the FCC Team, and does not position themselves or others as a single point of failure. Serves as a representative of Anchorage Digital to provide Fiat technical knowledge and blockchain tracing expertise during training events/conferences, prospective client meetings/demonstrations, and client support/planning, as needed. Communication and Influence: Stays up-to-date with regulatory developments in the digital asset space and advise on the implications for the business, working closely with internal teams (e.g., Legal, Risk, Compliance, IT) to ensure blockchain or anti-fraud initiatives are aligned with business objectives, risk management, and regulatory compliance. Engages with external partners (law enforcement, regulators, and blockchain analytics firms) to share insights and strengthen digital asset or fraud intelligence capabilities. Collaborates with internal teams (e.g., security, and compliance) to coordinate rapid response to blockchain-related incidents, ensuring appropriate Financial Crime Compliance teams are notified and provided sufficient details, as needed. Mentors and guides others within the FCC Team, helping to understand the strategic goals of the compliance department and how their work relates to the broader company. Able to collaborate with leadership in a professional manner in order to convey insights, recommendations, conclusions and ideas on how to improve the FCC Team. Consistently expresses clear, thoughtful, analytical and solutions-oriented communications, whether in high-impact slides/decks, written communications in slack or email, or verbal communications. You may be a fit for this role if you have: Blockchain tracing expertise-across multiple chains Fiat fraud case expertise Expertise in the unique aspects of different layer 1s, along with smart contracts, staking pools, etc. Excellent writing and presentation skills Experience reviewing transaction monitoring alerts and performing thorough case investigations Although not a requirement, bonus points if: Investigation certifications from either TRM Labs or Chainalysis or Elliptic Experience using Sentilink or LexisNexis Threatmetrix Previous experience with regulated digital asset or Financial Institution compliance About Anchorage Digital: Who we are The Anchorage Village, what we call our team, brings together the brightest minds from platform security, financial services, and distributed ledger technology to provide the building blocks that empower institutions to safely participate in the evolving digital asset ecosystem. As a diverse team of more than 600 members, we are united in one common goal: building the future of finance by providing the foundation upon which value moves safely in the new global economy. Anchorage Digital is committed to being a welcoming and inclusive workplace for everyone, and we are intentional about making sure people feel respected, supported, and connected at work-regardless of who you are or where you come from. We value and celebrate our differences and we believe being open about who we are allows us to do the best work of our lives. Anchorage Digital is an Equal Opportunity Employer. We are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity or veteran status. Anchorage Digital considers qualified applicants regardless of criminal histories, consistent with other legal requirements. “Anchorage Digital” refers to services that are offered either through Anchorage Digital Bank National Association, an OCC-chartered national trust bank, or Anchorage Lending CA, LLC a finance lender licensed by the California Department of Financial Protection and Innovation, License No. 60DBO-11976, or Anchorage Digital Singapore Pte Ltd, a Singapore private limited company, all wholly-owned subsidiaries of Anchor Labs, Inc., a Delaware corporation. Protecting your privacy rights is important to Anchorage Digital, and we work to maintain the trust and confidence of our clients when handling personal or financial information. Please see our privacy policy notices here.

[Remote Role] New Year, New Role? Bring your expertise to Lewis & Ellis as a Certified Financial Examiner (CFE). Are you a CFE who values flexibility and autonomy? At Lewis & Ellis Actuaries and Consultants, we know your expertise matters-and we make sure you have the tools and support to do your best work. Lewis & Ellis (L&E) is a nationally recognized consulting firm with a legacy of excellence since 1968. With representatives nationwide and a global client base, we provide expert consulting services across life, health, and property & casualty insurance. Base Pay Rate: Based on experience. YOU WILL: Complete financial examinations end-to-end (planning, fieldwork, documentation, and report-ready deliverables) in line with applicable standards and engagement expectations. Coordinate with Lewis & Ellis and engagement stakeholders to confirm scope, priorities, and timelines. Communicate effectively with insurance company contacts and state regulators to address requests, questions, and findings. Use examination tools and technology (including TeamMate+ and Microsoft 365) to support efficient remote work. Stay current on relevant regulatory guidance, statutory accounting considerations, and industry developments affecting examination work. ESSENTIAL REQUIREMENTS: Certified Financial Examiner (CFE) designation . Demonstrated experience completing examinations independently from initial planning through final deliverables. Strong knowledge of insurance financial examinations, statutory accounting principles, and regulatory expectations. Proficiency with TeamMate AM/TeamMate+ and Microsoft 365; ability to work within structured documentation standards. Excellent analytical skills, attention to detail, and professional judgment; ability to meet deadlines with minimal oversight. Ability to work remotely with reliable availability aligned to engagement timelines. PAY, BENEFITS & PERKS: Flexible work approach: Set a schedule that works for you (within client requirements). Transparent compensation: Straightforward, clearly communicated pay (based on experience and engagement structure). No non-compete clauses: Your career is yours-we won't hold you back. We provide the tools: TeamMate+, Microsoft 365, and a company laptop (for Lewis & Ellis work only) so you can hit the ground running. Application Process Please apply online. You may also email ***************************. Lewis & Ellis is an equal opportunity employer. We do not discriminate in employment opportunities or practices on the basis of race, color, religion, sex (including pregnancy, sexual orientation, and gender identity), national origin, age, disability, genetic information, protected veteran status, or any other characteristic protected by applicable federal, state, or local law. L&E also provides reasonable accommodations to qualified individuals with disabilities and applicants with disabilities in accordance with the Americans with Disabilities Act (ADA) and applicable state and local laws.

The Patient Service Center Representative II is responsible for creating a positive patient experience by accurately and efficiently handling the day-to-day operations relating to both Financial Clearance and Scheduling of a patient. This includes adherence to department policies and procedures related to verification of eligibility/benefits, pre-authorization requirements, available payment options, financial counseling and other identified financial clearance related duties in addition to full scheduling duties. Upon occasion, the PSC REP II may be only assigned to complex pre-registration. The PSC REP II is expected to develop a thorough understanding of assigned function(s). ESSENTIAL DUTIES AND RESPONSIBILITIES Include the following. Others may be assigned. Completes both scheduling functions and registration functions with the patient for an upcoming visit during one call: * Scheduling: Responsible for timely scheduling, provide callers with important information related to their appointment (i.e. Prep information for test, directions, order management etc.) * Financial Clearance: up to and including verifying patient demographic, insurance information and securing payment of patients financial liability/performing collection efforts * If assigned to Order Management: verifies order is complete and matches scheduled procedure. Includes indexing and exporting physicians orders to correct account number. If assigned to complex Pre-Reg: * Collect and verify required patient demographic and financial data elements, including determining a patient's financial responsibility and securing pre-payment for future services/performing collection efforts * Create a complete pre-registration account for an upcoming inpatient/surgical admission * Completes all pre-certification requirements by obtaining authorization from insurer and/or healthcare facility * Other duties as assigned based on departmental needs KNOWLEDGE, SKILLS, ABILITIES To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. * Ability to work in a production driven call-center environment * Familiarity with working with dual computer monitors (may be required to use dual monitors) * Must have basic typing ability * Must have working knowledge of Windows based computer environment * Ability to multitask in multiple systems (financial clearance and scheduling) simultaneously * Extensive multitasking ability * Strong written and verbal communication skills Conifer requires its candidates, as applicable and as permitted by law, to obtain and provide confirmation of all required vaccinations and screenings prior to the start of employment. This may include, but is not limited to, the COVID-19 vaccination, influenza vaccination, and/or any future required vaccines and screenings. EDUCATION / EXPERIENCE Include minimum education, technical training, and/or experience preferred to perform the job. * Required: High school diploma or GED * Preferred: Two plus years of college (two years in a professional, customer service-driven environment may substitute for two years of college), completion of related medical certification program * Preferred: Telephone/call center experience * Preferred: Pre-registration and/or scheduling experience * Preferred: 2-3 years of customer service experience PHYSICAL DEMANDS The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. * Must be able to work in sitting position, use computer and answer telephone * Ability to travel WORK ENVIRONMENT The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. * Office Work Environment * Hospital Work Environment TRAVEL * Approximately 0% travel may be required As a part of the Tenet and Catholic Health Initiatives family, Conifer Health brings 30 years of healthcare industry expertise to clients in more than 135 local regions nationwide. We help our clients strengthen their financial and clinical performance, serve their communities, and succeed at the business of healthcare. Conifer Health helps organizations transition from volume to value-based care, enhance the consumer and patient healthcare experience and improve quality, cost and access to healthcare. Are you ready to be part of our solutions? Welcome to the company that gives you the resources and incentives to redefine healthcare services, with a competitive benefits package and leadership to take your career to the next step! Compensation and Benefit Information Compensation * Pay: $15.80 - $23.70 per hour. Compensation depends on location, qualifications, and experience. * Position may be eligible for a signing bonus for qualified new hires, subject to employment status. * Conifer observed holidays receive time and a half. Benefits Conifer offers the following benefits, subject to employment status: * Medical, dental, vision, disability, and life insurance * Paid time off (vacation & sick leave) - min of 12 days per year, accrue at a rate of approximately 1.84 hours per 40 hours worked. * 401k with up to 6% employer match * 10 paid holidays per year * Health savings accounts, healthcare & dependent flexible spending accounts * Employee Assistance program, Employee discount program * Voluntary benefits include pet insurance, legal insurance, accident and critical illness insurance, long term care, elder & childcare, AD&D, auto & home insurance. * For Colorado employees, Conifer offers paid leave in accordance with Colorado's Healthy Families and Workplaces Act. Employment practices will not be influenced or affected by an applicant's or employee's race, color, religion, sex (including pregnancy), national origin, age, disability, genetic information, sexual orientation, gender identity or expression, veteran status or any other legally protected status. Tenet will make reasonable accommodations for qualified individuals with disabilities unless doing so would result in an undue hardship. Tenet participates in the E-Verify program. Follow the link below for additional information. E-Verify: ***************************** The employment practices of Tenet Healthcare and its companies comply with all applicable laws and regulations. **********

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.

We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, culture and talent experience and our ability to be compelling to our clients. You'll find an environment that inspires and empowers you to thrive both personally and professionally. There's no one like you and that's why there's nowhere like RSM. Financial Examiner, Examiner-In-Charge (EIC) Risk & Regulatory Consulting, LLC (Regulatory Insurance) Work from home-any US location Position Overview The Financial Examiner, EIC will primarily perform financial examinations and regulatory consulting services for state insurance departments. This position has significant opportunity for advancement as well as personal and professional growth. Specific Duties and Responsibilities Perform risk focused financial examinations to determine solvency and compliance to statutes on behalf of Risk & Regulatory Consulting LLC insurance clients. Perform reviews of examination work papers and evaluate insurance company operations. Serve as Examiner-In-Charge on examinations of significant size and complexity Ensure the integrity of the regulatory system. Assist with the preparation of reports, exhibits, and other supporting schedules that detail a company's solvency, condition and compliance with laws and regulations, and recommend solutions to questionable financial conditions. Responsible for timely submission of draft reports for review. Recommend/document actions to ensure compliance with laws and regulations, or to protect solvency of the company. Provide knowledge and guidance of insurance laws, rules, and regulations. Review and analyze new, proposed, or revised laws, regulations, policies, and procedures in order to interpret their meaning and determine impact to the company. Analyze financial operating statements, reports, and records relating to specific and overall operations of insurance companies; prepare and supervise writing of clear, complete, concise, and informative reports of financial conditions of insurance companies and health care organizations. Consistently enhance knowledge of: principles, practices, techniques, and methods of accounting and auditing; insurance examination and regulation; insurance laws and Insurance Commissioner's rulings; and related Attorney General opinions and court decisions; insurance company practices; statistical sampling procedures; basic actuarial mathematics; principles and practice of effective supervision, insurance companies and health care organizations. Requirements Bachelor's Degree in Accounting or Finance; MBA and/or professional certification/s preferred Minimum 10+ years' experience as a financial examiner serving as EIC on exams of significant size and complexity. Insurance industry experience is a must. Certified Financial Examiner (CFE) is a must, CPA or CPA candidate, and/or Certified Internal Auditor (CIA) or CIA Candidate a plus PC skills, including experience in using software for producing presentations, spreadsheets, and project planning (skilled in TeamMate, ACL/Access, and MS Excel, Word and Power Point) Strong interpersonal, presentation, analytical and examination/audit skills Excellent organizational skills and the ability to prioritize multiple tasks, projects and assignments using effective time management skills Strong written and verbal communication skills are required Dynamic/flexible demeanor with exceptional client service skills Must be self-motivated, work well independently and possess a sense of urgency Skilled in team building and team development Work from home with flexibility to travel Ability to demonstrate ethical and professional standards as outlined by the Firm Risk & Regulatory Consulting, LLC (RRC) was formerly a business segment of RSM US LLP (formerly McGladrey) until 2012 when the separate legal entity was formed. RRC is a strategic business partner with RSM providing actuarial and insurance industry consulting services to RSM clients. Risk & Regulatory Consulting, LLC (RRC) is a national, leading professional services firm dedicated to providing exceptional regulatory services to clients. With over 100 experienced insurance professionals located in 22 states, we believe RRC is uniquely positioned to serve state insurance departments. We offer services in the following regulatory areas: financial examinations, market conduct examinations, insolvency and receiverships, actuarial services and valuations, investment analysis, reinsurance expertise, market analysis and compliance, and special projects. We are a results oriented firm committed to success that builds long term relationships with our clients. RRC is managed by eight partners and our practice includes full time professionals dedicated to our regulatory clients. We are focused on listening to your needs and designing customized examination, consulting, and training solutions that address your needs. We bring multiple service lines together to provide superior and seamless service to our clients. We are committed to training our customers and our team. We have developed various comprehensive in house training programs that have been tailored to meet the needs of our regulatory clients. We offer competitive pricing, outstanding experience, credentials and references. RRC is an active participant in the NAIC, SOFE, and IRES. At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life's demands, while also maintaining your ability to serve clients. Learn more about our total rewards at ************************************************** All applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender; sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at ************ or send us an email at *****************. RSM does not intend to hire entry level candidates who will require sponsorship now OR in the future (i.e. F-1 visa holders). If you are a recent U.S. college / university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate. RSM will consider for employment qualified applicants with arrest or conviction records. For those living in California or applying to a position in California, please click here for additional information. At RSM, an employee's pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range (or starting rate for interns and associates) for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range. Compensation Range: $94,400 - $178,800 Individuals selected for this role will be eligible for a discretionary bonus based on firm and individual performance.

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.

We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, culture and talent experience and our ability to be compelling to our clients. You'll find an environment that inspires and empowers you to thrive both personally and professionally. There's no one like you and that's why there's nowhere like RSM. The Financial Examiner will primarily perform financial examinations and regulatory consulting services for state insurance departments. This position has significant opportunity for advancement as well as personal and professional growth. Responsibilities (Responsibilities vary depending on seniority level) Perform risk focused financial examinations to determine solvency and compliance to statutes on behalf of Risk & Regulatory Consulting LLC insurance clients. Perform reviews of examination work papers and evaluate insurance company operations. Ensure the integrity of the regulatory system. Assist with the preparation of reports, exhibits, and other supporting schedules that detail a company's solvency, condition and compliance with laws and regulations, and recommend solutions to questionable financial conditions. Responsible for timely submission of draft reports for review. Recommend/document actions to ensure compliance with laws and regulations, or to protect solvency of the company. Provide knowledge and guidance of insurance laws, rules, and regulations. Review and analyze new, proposed, or revised laws, regulations, policies, and procedures in order to interpret their meaning and determine impact to the company. Analyze financial operating statements, reports, and records relating to specific and overall operations of insurance companies; prepare and supervise writing of clear, complete, concise, and informative reports of financial conditions of insurance companies and health care organizations. Consistently enhance knowledge of: principles, practices, techniques, and methods of accounting and auditing; insurance examination and regulation; insurance laws and Insurance Commissioner's rulings; and related Attorney General opinions and court decisions; insurance company practices; statistical sampling procedures; basic actuarial mathematics; principles and practice of effective supervision, insurance companies and health care organizations. Qualifications Bachelor's Degree in Accounting or Finance; MBA and/or professional certification/s preferred Minimum 5+ years experience as an accountant, auditor or examiner with a state insurance department or a public accounting firm or as an accountant, internal or external auditor or examiner of insurance companies. Insurance industry experience is a must. Certified Financial Examiner (CFE) or CFE Candidate, CPA or CPA candidate, and/or Certified Internal Auditor (CIA) or CIA Candidate a plus PC skills, including experience in using software for producing presentations, spreadsheets, and project planning (skilled in TeamMate, ACL/Access, and MS Excel, Word and Power Point) Strong interpersonal, presentation, analytical and examination/audit skills Excellent organizational skills and the ability to prioritize multiple tasks, projects and assignments using effective time management skills Strong written and verbal communication skills are required Dynamic/flexible demeanor with exceptional client service skills Must be self-motivated, work well independently and possess a sense of urgency Skilled in team building and team development Work from home with flexibility to travel Ability to demonstrate ethical and professional standards as outlined by the Firm At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life's demands, while also maintaining your ability to serve clients. Learn more about our total rewards at ************************************************** All applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender; sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at ************ or send us an email at *****************. RSM does not intend to hire entry level candidates who will require sponsorship now OR in the future (i.e. F-1 visa holders). If you are a recent U.S. college / university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate. RSM will consider for employment qualified applicants with arrest or conviction records. For those living in California or applying to a position in California, please click here for additional information. At RSM, an employee's pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range (or starting rate for interns and associates) for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range. Compensation Range: $69,800 - $132,000 Individuals selected for this role will be eligible for a discretionary bonus based on firm and individual performance.

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.