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  • Senior Branch Examiner

    Royal Bank of Canada 4.3company rating

    Remote supervisory examiner job

    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: 2025-12-31 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.
    $70k-130k yearly 2d ago
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  • Tax Examiner Manager

    Dasstateoh

    Supervisory examiner job in Ohio

    Tax Examiner Manager (250009GZ) Organization: TaxationAgency Contact Name and Information: Ali Barton - *************************** For all other inquiries please contact the HR Mainline at ************ or email the staffing team at *********************** Unposting Date: Jan 7, 2026, 9:59:00 PMWork Location: Northland 3rd Floor 4485 Northland Ridge Boulevard Columbus 43229Primary Location: United States of America-OHIO-Franklin County Compensation: $39.22 - $55.99Schedule: Full-time Classified Indicator: ClassifiedUnion: Exempt from Union Primary Job Skill: Accounting and FinanceTechnical Skills: Accounting and FinanceProfessional Skills: Attention to Detail, Critical Thinking, Leading Others, Teamwork Agency OverviewCreating a seamless and user-centric experience for all Ohio Taxpayers Job DutiesThe Ohio Department of Taxation is responsible for the administration of individual and business taxes across the state. Guided by our Mission Statement, we are ONE TEAM providing education, innovation, outreach, and exceptional service to our customers through courtesy, accuracy, and responsiveness in each interaction. Taxation is committed to building a strong and skilled workforce. We invest in the development of each employee through comprehensive training, a competitive total compensation package that includes benefits (medical, dental, and vision insurance), tuition reimbursement, health and wellness programs, work-life balance initiatives, and opportunities for career advancement.The Ohio Department of Taxation is seeking to fill one (1) Tax Examiner Manager position in the Excise and Energy Tax Division. This position is for current Taxation employees. What You'll do as a Tax Examiner Manager:Manage multiple work streams for multiple tax types which could include items such as customer service, compliance, training, onboarding, refunds, audits, and general operations. Oversee phone and live chat queue activity and volume to ensure alignment with established service level objectives. Organize and lead weekly team meetings, including agenda preparation, to share updates, promote best practices, and address employee concerns.Generate weekly performance reports and deliver timely updates to senior management regarding team metrics and operational outcomes. Review and approve employee timekeeping records, ensuring accuracy in leave balances and sufficient coverage across all shifts. Conduct regular one-on-one meetings with team members to provide constructive feedback, evaluate performance, and support career development.Partner with leadership to identify and implement process enhancements that support strategic organizational objectives To request a reasonable accommodation due to disability for the application or interview process, please contact ADA Coordinator J.D. Hawkins by phone: ************ or by email to: Accessibility@tax.ohio.gov. A full Position Description will be provided during the interview process.Why Work for the State of OhioAt the State of Ohio, we take care of the team that cares for Ohioans. We provide a variety of quality, competitive benefits to eligible full-time and part-time employees*. For a list of all the State of Ohio Benefits, visit our Total Rewards website! Our benefits package includes: Medical Coverage Free Dental, Vision and Basic Life Insurance premiums after completion of eligibility period Paid time off, including vacation, personal, sick leave and 11 paid holidays per year Childbirth, Adoption, and Foster Care leave Education and Development Opportunities (Employee Development Funds, Public Service Loan Forgiveness, and more) Public Retirement Systems (such as OPERS, STRS, SERS, and HPRS) & Optional Deferred Compensation (Ohio Deferred Compensation) *Benefits eligibility is dependent on a number of factors. The Agency Contact listed above will be able to provide specific benefits information for this position.QualificationsUndergraduate core program in accounting, business, public administration or related field which included 3 courses in accounting; 42 mos. exp. in accounting, auditing, &/or taxation; 12 mos. exp. in supervisory principles/techniques; 12 mos. exp. in customer service.-Or graduate core program in accounting, business, public administration, or related field which included 3 courses in accounting; 30 mos. exp. in accounting, auditing, &/or taxation; 12 mos. exp. in supervisory principles & techniques; 12 mos. exp. in customer service. -Or 18 mos. exp. as a Tax Examiner Specialist, 66813. -Or equivalent of Minimum Class Qualifications for Employment noted above. For positions performing audits per the approved Position Description on file, qualifications are established in accordance with O.R.C. 5703.17.Must provide own transportation unless State vehicle is provided.Technical skills: Accounting and FinanceProfessional Skills: Critical Thinking, Attention to Detail, Leading Others, TeamworkSupplemental InformationThe final candidate selected for the position will be required to undergo a criminal background check. Section 2961 of the Ohio Revised Code prohibits individuals convicted of a felony including but not limited to fraud, deceit, or theft from holding a position that has substantial management or control over the property of a state agency. Additionally, section 5703.081 of the Ohio Revised Code requires the Ohio Department of Taxation employees to promptly file and pay tax returns.ADA StatementOhio is a Disability Inclusion State and strives to be a model employer of individuals with disabilities. The State of Ohio is committed to providing access and inclusion and reasonable accommodation in its services, activities, programs and employment opportunities in accordance with the Americans with Disabilities Act (ADA) and other applicable laws.Drug-Free WorkplaceThe State of Ohio is a drug-free workplace which prohibits the use of marijuana (recreational marijuana/non-medical cannabis). Please note, this position may be subject to additional restrictions pursuant to the State of Ohio Drug-Free Workplace Policy (HR-39), and as outlined in the posting.
    $38k-55k yearly est. Auto-Apply 1d ago
  • Experienced ABL Field Examiner

    LCG Advisors 4.2company rating

    Remote supervisory examiner job

    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
    $55k-80k yearly est. 24d ago
  • Tax Examiner 1

    State of Pennsylvania 2.8company rating

    Remote supervisory examiner job

    Are you searching for a role where you can gain valuable experience and skills for an essential and in-demand career? Look no further than this Tax Examiner 1 position with the Department of Revenue, Bureau of Business Taxpayer Accounting. This is your opportunity to train in the review and examination of tax returns, schedules, and associated documents with our Business Tax Payment Refund Division, Administrative Review Section. Grow your career with us! DESCRIPTION OF WORK As a Tax Examiner 1, you will gain specialized knowledge and experience needed for the effective issuance of specialized assessments of trust fund taxes. This involves learning how to review and examine tax returns and documents, determine responsible individuals, prepare the appropriate correspondence, and approve or deny requests for specialized assessments. You will also learn how to determine tax liabilities, compute penalties and interest, and complete adjustments based on correspondence, phone calls, or internal requests. Additional training consists of interpreting and applying tax laws, rules, regulations, policies, and procedures, as well as handling inquires from taxpayers and other state agencies. Kickstart your public service career with the Department of Revenue! Interested in learning more? Additional details regarding this position can be found in the position description. Work Schedule and Additional Information: * Full-time employment * Work hours are flexible between 8:30 AM to 5:00 PM, Monday - Friday, with a 30 or 60-minute lunch. * In-office training required for minimum of 6 months * Telework: You may have the opportunity to work from home (telework) part-time, up to 3 days per week upon successful completion of training. In order to telework, you must have a securely configured high-speed internet connection and work from an approved location inside Pennsylvania. If you are unable to telework, you will have the option to report to the headquarters office in Harrisburg. The ability to telework is subject to change at any time. Additional details may be provided during the interview. * Salary: Selected candidates who are new to employment with the Commonwealth of Pennsylvania will begin employment at the starting annual salary of $40,685.00 (before taxes). * You will receive further communication regarding this position via email. Check your email, including spam/junk folders, for these notices. REQUIRED EXPERIENCE, TRAINING & ELIGIBILITY QUALIFICATIONS Minimum Experience and Training Requirements: * Two years of general office work; or * An equivalent combination of experience and training. Additional Requirements: * You must be able to perform essential job functions. Legal Requirements: * This position will have access to Federal Tax Information (FTI) and is subject to the provisions of IRS Publication 1075 (Pub 1075) which requires you to pass an enhanced background check prior to beginning employment. Under Pub 1075, acceptance of a conditional offer of employment will require submission to and approval of satisfactory criminal history reports, including but not limited to: a fingerprint-based federal records check; a PA State Police clearance; a check of local law enforcement agencies where you have lived, worked, and/or attended school within the last five (5) years; and a citizenship/residency verification. How to Apply: * Resumes, cover letters, and similar documents will not be reviewed, and the information contained therein will not be considered for the purposes of determining your eligibility for the position. Information to support your eligibility for the position must be provided on the application (i.e., relevant, detailed experience/education). * If you are claiming education in your answers to the supplemental application questions, you must attach a copy of your college transcripts for your claim to be accepted toward meeting the minimum requirements. Unofficial transcripts are acceptable. * Your application must be submitted by the posting closing date. Late applications and other required materials will not be accepted. * Failure to comply with the above application requirements may eliminate you from consideration for this position. Veterans: * Pennsylvania law (51 Pa. C.S. §7103) provides employment preference for qualified veterans for appointment to many state and local government jobs. To learn more about employment preferences for veterans, go to ************************************************ and click on Veterans. Telecommunications Relay Service (TRS): * 711 (hearing and speech disabilities or other individuals). If you are contacted for an interview and need accommodations due to a disability, please discuss your request for accommodations with the interviewer in advance of your interview date. The Commonwealth is an equal employment opportunity employer and is committed to a diverse workforce. The Commonwealth values inclusion as we seek to recruit, develop, and retain the most qualified people to serve the citizens of Pennsylvania. The Commonwealth does not discriminate on the basis of race, color, religious creed, ancestry, union membership, age, gender, sexual orientation, gender identity or expression, national origin, AIDS or HIV status, disability, or any other categories protected by applicable federal or state law. All diverse candidates are encouraged to apply. Learn more about our Total Rewards by watching this short video! See the total value of your benefits package by exploring our benefits calculator. Health & Wellness We offer multiple health plans so our employees can choose what works best for themselves and their families. Our comprehensive benefits package includes health coverage, vision, dental, and wellness programs.* Compensation & Financial Planning We invest in our employees by providing competitive wages and encouraging financial wellness by offering multiple ways to save money and ensure peace of mind including multiple retirement and investment plan options. Work/Life Balance We know there's more to life than just work! Our generous paid leave benefits include paid vacation, paid sick leave, eight weeks of paid parental leave, military leave, and paid time off for most major U.S. holidays, as well as flexible work schedules and work-from-home opportunities.* Values and Culture We believe in the work we do and provide continual opportunities for our employees to grow and contribute to the greater good. As one of the largest employers in the state, we provide opportunities for internal mobility, professional development, and the opportunity to give back by participating in workplace charitable giving. Employee Perks Sometimes, it is the little "extras" that make a big difference. Our employees receive special employee-only discounts and rates on a variety of services and memberships. For more information on all of these Total Rewards benefits, please visit ********************* and click on the benefits box. * Eligibility rules apply. 01 How many years of full-time general office work experience do you possess? * 2 years or more * 1 but less than 2 years * Less than 1 year * None 02 If you are claiming experience in the above question, please list the employer(s) where you gained this experience in the text box below. The employer(s) and a description of the experience must also be included in the appropriate sections of your application if you would like the experience to be considered in the eligibility decision. If you claimed you do not have experience, type N/A in the text box below. 03 How much college coursework have you completed? If you are claiming credits/degree, you must upload a copy of your college transcript(s) for this education to be considered in the eligibility decision. Unofficial transcripts are acceptable. You must attach your transcript(s) prior to the submission of your application by using the "Attachments" tab on the left. You will not be able to add a transcript(s) to the application after it has been submitted. If your education was acquired outside of the United States, you must upload a copy of your foreign credential evaluation report. We can only accept foreign credential evaluations from organizations that are members of the National Association of Credential Services (NACES). A list of current NACES members can be found by visiting ************* and clicking the Evaluation Services Link. You must attach your documentation prior to the submission of your application by using the "Attachments" tab on the left. You will not be able to add a document to the application after it has been submitted. * 60 credits or more * 30 but less than 60 credits * Less than 30 credits * None Required Question Employer Commonwealth of Pennsylvania Address 613 North Street Harrisburg, Pennsylvania, 17120 Website ****************************
    $40.7k yearly 4d ago
  • BANK EXAMINER 3 - 12232025-73833

    State of Tennessee 4.4company rating

    Remote supervisory examiner job

    Job Information State of Tennessee Job Information Opening Date/Time12/23/2025 12:00AM Central TimeClosing Date/Time01/05/2026 11:59PM Central TimeSalary (Monthly)$5,100.00 - $7,646.00Salary (Annually)$61,200.00 - $91,752.00Job TypeFull-TimeCity, State LocationKnoxville, TNDepartmentFinancial Institution LOCATION OF (2) POSITION(S) TO BE FILLED: DEPARTMENT OF FINANCIAL INSTITUTION, BANK EXAMINATION EAST DIVISION, KNOX COUNTY A valid motor vehicle license is required. Higher education transcripts required with application. This position is designed as hybrid with remote work and some required travel. This position requires a criminal background check. Therefore, you may be required to provide information about your criminal history in order to be considered for this position. Qualifications Education and Experience: Graduation from an accredited college or university with a bachelor's degree in finance, accounting, banking or business-related field and a minimum of nine semester hours of accounting and/or finance; and experience equivalent to three years of full-time professional bank examination work with a federal or state agency. * must demonstrate satisfactory completion of the FDIC Introduction to Examination School, or equivalent training provided by the Conference of State Bank Supervisors or Federal Reserve; * must demonstrate satisfactory completion of the FDIC Financial Institution Analysis School, or equivalent training provided by the Conference of State Bank Supervisors or Federal Reserve; * must demonstrate satisfactory completion of the FDIC Asset Liability Management School, or equivalent training provided by the Conference of State Bank Supervisors or Federal Reserve; * must demonstrate satisfactory completion of the FDIC Loan Analysis School, or equivalent training provided by the Conference of State Bank Supervisors or Federal Reserve; * must possess and maintain a valid motor vehicle license. Overview Under general supervision, is responsible for professional bank examination work of considerable difficulty; and performs related work as required. This is the advanced working level class in the Bank Examiner sub-series. An employee in this class is responsible for conducting examinations of state-chartered banks. Work involves examining bank records, financial statements and preparing reports to ensure that bank operations and financial conditions adhere to the banking laws, rules and regulations of the state. Responsibilities * Lead- Serve as Examiner-in-Charge (EIC) leading the examination of satisfactorily rated institutions and learns to be EIC of troubled and complex institutions. For the examination of complex, troubled, and satisfactorily rated institutions, serve as Asset Manager overseeing the examination team's evaluation of loans, other real estate, and investments and serve as Operations Manager overseeing the team's evaluation of capital, earnings, liquidity, interest rate risk, and internal controls. Risk-focuses examination procedures and employees a regulatory balance approach to all examination activities. * Make Decisions and Solve Problems- Determine initial CAMELS ratings, determines initial loan ratings, assesses and determines if the financial institutions' overall risk management policies and procedures are sufficient and effective in averting risk, and interprets regulatory statutes, guidelines, policies, and procedures for internal and external customers to ensure that financial institutions are meeting all state and federal guidelines. * Analyze Data or Information- Reviews and analyzes loans to determine credit quality, potential risk of loss to capital. Reviews appropriateness of Allowance for Credit Losses. Examines and analyzes the capital position, earnings profile, liquidity position, sensitivity to market risk posture, other real estate portfolio, and Bank Secrecy Act / Anti-Money Laundering program. * Organize, Plan, and Prioritize Work- Completes examination preplanning and scoping assignments, manages and prioritizes multiple work assignments, and organizes, plans, and oversees meetings with financial institution management/directorate and other regulatory agencies. * Communicate Information- Establishes and maintains a diverse array of professional relationships with executives from financial institutions, federal counterparts, accountants, and legal professionals to ensure a comprehensive understanding of the institutions under our regulation. Engage collaboratively with federal regulators and banking industry representatives to foster a balanced and consistent regulatory framework. * Prepare and Review Written Comments, Analyses, and Related Documentation- Write comments and analyses for examination reports, scope memoranda, work papers, and other documentation to support findings, conclusions, and ratings. Reviews comments and analyses prepared by other members of the examination team to determine accuracy and relevancy. * Relevant Industry Knowledge- Maintains up-to-date knowledge of regulatory processes, procedures, regulatory, and industry trends. Provide positive coaching to team members. Actively participate in required schools/training and complete requisite pre-course work when applicable. * Travel- Travel to in-state and out-of-state sites to complete examination training. Travel to examination and other work sites. Competencies (KSA's) Competencies: * Communicates Effectively * Action Oriented * Manages Complexity * Decision Quality * Courage Knowledge: * Financial Accounting * Economic Principles * Financial Statements * Statistical Data Analysis * Financial Laws, Procedures & Publications Skills: * Self Development * Problem Solving * Critical Thinking * Mentoring * Presentation/Public Speaking Abilities: * Application of legal standard & procedure * Technical Writing * Data Entry * Lift up to 40 lbs * Sedentary Work Tools & Equipment * Laptop Computer * Basic Office Equipment * Financial Calculator * Microsoft Office Suite * Motor Vehicle TN Driver Standards State of Tennessee positions that may involve driving responsibilities require candidates to meet the following minimum driver qualifications: * A valid driver's license * For the past five years, the candidate's driver record must not have record of the following violations: driving under the influence (DUI), reckless driving, license suspension for moving violations, more than 4 moving violations. Please include your Driver's License Information under the Licenses and Certifications section of your application. Agencies may allow an exception based on other factors.
    $61.2k-91.8k yearly 6d ago
  • Financial Examiner - EIC

    RSM 4.4company rating

    Remote supervisory examiner job

    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.
    $94.4k-178.8k yearly Auto-Apply 60d+ ago
  • TDI-Financial Examiner III

    Capps

    Remote supervisory examiner job

    TDI-Financial Examiner III (00051321) Organization: TEXAS DEPARTMENT OF INSURANCE Primary Location: Texas-Travis Work Locations: Home Office - Travis County (454-HO-227) Travis County Travis Job: Business and Financial Operations Employee Status: Regular Schedule: Full-time Standard Hours Per Week: 40.00 Travel: Yes, 75 % of the Time State Job Code: 1104 Salary Admin Plan: B Grade: 21 Salary (Pay Basis): 6,016.89 - 6,016.89 (Monthly) Number of Openings: 3 Overtime Status: Non-exempt Job Posting: Oct 28, 2025, 4:52:50 PM Closing Date: Ongoing Description Do you have a passion for public state service and enjoy making a difference? Don't miss out on this opportunity. The Texas Department of Insurance (TDI) is hiring! Apply today if you're looking for a rewarding career in public state service. TDI regulates the insurance industry, administers the Texas workers' compensation system, educates, and protects consumers. TDI is located at the Barbara Jordan Building at 1601 Congress Avenue in Austin, near the Texas Capitol. Benefits of working at TDI: · Flexible work schedules.· Work-life-balance.· 96 hours of accrued vacation a year.· 96 hours of accrued sick leave a year.· 20+ holidays every year.· Career advancement opportunities.· Free parking.· 401(k) and 457 Programs.· State of Texas retirement plan with a lifetime annuity through the Employee Retirement System of Texas (ERS).· Free comprehensive medical insurance for full-time employees and 50% off premium costs for dependents (state pays other 50%).· Optional benefits like dental, vision, life insurance, and many more.· Qualified employer for the Federal Public Service Loan Forgiveness Program. Before you apply:TDI does not sponsor or assume sponsorship of an employment visa.Learn about our selection process, our military employment preference, licensing, and credential requirements.Financial Examiner III (Financial Examiner Trainee) Austin Area Financial Solvency Examinations evaluates the financial condition of insurance companies to determine their ability to pay claims and ensure compliance with state insurance laws. This position performs moderately complex (journey-level) financial examination work. Work involves reviewing, testing, and evaluating fiscal, corporate, and operational records, and conducting examinations to determine and report on financial conditions and compliance with statutory requirements, bylaws, and rules. Works under general supervision, with limited latitude for the use of initiative and independent judgment. This position:· Assists with risk identification and risk mitigation and effect on financial solvency. · Evaluates reported assets, liabilities, and capital and surplus for compliance with statutes, rules, and regulations. · Reconciles company records and workpapers to annual and other financial statements; prepares worksheets and calculations of financial data from company records. · Identifies and reports on examination findings related to financial solvency or statutory compliance. · Actively participates in self-study regime to meet examiner certification and training requirements. · Provides assistance in meetings with executive and/or senior level management of companies to discuss risks, financial data, and policies and procedures. · Assists with special projects and performs other duties as assigned. Qualifications This position requires: Graduation from an accredited four-year college or university with major coursework in business administration, accounting or finance, risk management, economics, or a related field. Successful completion of the following courses is required for degrees other than Accounting: Accounting Fundamentals (6 semester hours) Finance or Economics (3 semester hours) General Auditing (3 semester hours) Business Law (3 semester hours) Or Have a Master of Science (MS) or Master of Business Administration (MBA) in accounting from an accredited college or university. Or Be a Certified Public Accountant. Candidates must submit transcripts from all academic institutions where course credit was earned. Applications without complete transcripts will not be considered. Note: Must be eligible for the bond-related provisions of Insurance Code Section 401.106 and take the oath required by Insurance Code Section 401.105. Additional job details: This is a remote work position that requires extensive travel (up to 75%). No office will be provided by the department. Candidates must have a secure, dedicated workspace with Internet service. Must be available during approved work schedule for meetings and group collaboration via Microsoft Teams and other applications. Must attain the Accredited Financial Examiner (AFE) designation from the Society of Financial Examiners within a period of no longer than three years after employment. Must attain the Certified Financial Examiner (CFE) designation from the Society of Financial Examiners within a period of no longer than five years after employment. Preferences for this position include: · Experience with regulatory examinations or related audits. · Demonstrated understanding of general insurance terminology. · Experience with statutory accounting principles. · Demonstrated ability to identify and assess risk. This position requires demonstrated knowledge of: · Basic auditing and accounting standards of Statutory Accounting Principles (SAP) and Generally Accepted Accounting Principles (GAAP). · General office practices and administrative procedures. · General understanding of business law and practices. · Gathering and assimilating information from multiple sources efficiently. · Developing clear and concise conclusions. · This position requires demonstrated skill in: · Operating a motor vehicle in a safe and courteous manner in compliance with traffic laws. · Problem solving, decision making, and planning. · Gathering and assimilating information from multiple sources efficiently and developing clear and concise conclusions. · Organization and prioritization of tasks. · Using personal computers, including Microsoft applications (e.g. Word and Excel). This position requires the demonstrated ability to: · Satisfy the requirements to maintain fully qualified driving status. · Apply critical thinking to analyze and solve work problems and analyze and evaluate compliance trends. · Communicate professionally and effectively, both verbally and in writing, with all levels of employees and the general public. · Learn examination techniques, identify and assess risk and evaluate its effect on financial statements and related documents. · Apply statutory accounting practices and analytical skills. · Establish and maintain effective working relationships with management, team members, coworkers and public. · Take initiative, accept new challenges, and be adaptive to changes. · Manage time effectively to complete assigned items within the budgeted amount of time. Military Employment Preference Get help translating your military work experience and training courses into civilian job terms, qualifications/requirements, and skill sets. Redact personal or sensitive information from all attachments. To receive a military employment preference, you must submit the following documents, as applicable, with your application. See How to Apply - Military Employment PreferencApplicable Military Occupational Specialty (MOS) codes are included, but not limited to one of the following: 36A, F&S, 3404, 6FOX1, 65FX Click or copy and paste the following link into your browser to access Military Crosswalk information: ************************************************************************************************ How to apply: All applications must contain complete job histories, including job title, dates of employment, name of employer, manager's name and phone number, and a description of duties performed. We may reject applications that do not include all the required information. Resumes do not substitute for this required information. Submitted through Work in Texas: Work in Texas (WIT) applicants must complete supplemental questions to be considered for the position. To complete supplemental questions, go to CAPPS Career Center to register or log in and access your profile.
    $47k-74k yearly est. Auto-Apply 14h ago
  • Materials Examiner & Identifier Supervisory (FLO)

    Department of Defense

    Supervisory examiner job in Whitehall, OH

    Apply Materials Examiner & Identifier Supervisory (FLO) Department of Defense Defense Logistics Agency Apply Print Share * * * * Save * This job is open to * Requirements * How you will be evaluated * Required documents * How to apply See below for important information regarding this job. Summary See below for important information regarding this job. Overview Help Accepting applications Open & closing dates 12/17/2025 to 12/28/2025 Salary $33.69 to - $39.30 per hour Pay scale & grade WS 6 Location 1 vacancy in the following location: Whitehall, OH Remote job No Telework eligible No Travel Required Occasional travel - You may be expected to travel for this position. Relocation expenses reimbursed No Appointment type Permanent - Multiple Appointment Types Work schedule Full-time Service Competitive Promotion potential 6 Job family (Series) * 6912 Materials Examining And Identifying Supervisory status Yes Security clearance Not Required Drug test No Position sensitivity and risk Noncritical-Sensitive (NCS)/Moderate Risk Trust determination process * Credentialing Financial disclosure No Bargaining unit status No Announcement number DLADispSvcs-26-12855183-MP Control number 852731400 This job is open to Help Internal to an agency Current federal employees of the hiring agency that posted the job announcement. Career transition (CTAP, ICTAP, RPL) Federal employees whose job, agency or department was eliminated and are eligible for priority over other applicants. Veterans Veterans of the U.S. Armed Forces or a spouse, widow, widower or parent of a veteran, who may be eligible for derived preference Military spouses Military spouses of active duty service members or whose spouse is 100 percent disabled or died on active duty. Individuals with disabilities Individuals who are eligible under Schedule A. Clarification from the agency "Agency" means current permanent DoD employees. Veterans' eligibilities include 30% or more Disabled Vet, Veterans Employment Opportunities Act (VEOA). Military Spouse Preference (MSP) eligibles, Retained Grade Preference (RGP) eligibles, and Military Reserve and National Guard Technician eligibles in the commuting area may also apply. Videos Duties Help * Exercises technical and administrative supervision over subordinate workers. * Plans the use of subordinate workers, equipment, facilities, and materials based on workload projections on a weekly or monthly basis. * Establishes deadlines, priorities, and work sequences, in accordance with general work schedules, methods, and policies established by higher-level supervisors. * Determines the number and types of workers needed to accomplish specific projects. * Assigns work to individual workers by verbal or written instructions. * Monitors work in progress and inspects completed work to assure work order requirements. * Sets performance standards for subordinates and makes formal appraisals of their work performance. * Counsels employees and discusses informal complaints and grievances with workers and union representatives. * Initiates disciplinary actions as needed. * Maintains work reports and records. Requirements Help Conditions of employment * Must be a U.S. citizen * Tour of Duty: Set Schedule * Security Requirements: Non-Critical Sensitive * Appointment is subject to the completion of a favorable suitability or fitness determination, where reciprocity cannot be applied; unfavorably adjudicated background checks will be grounds for removal. * Fair Labor Standards Act (FLSA): Exempt * Selective Service Requirement: Males born after 12-31-59 must be registered or exempt from Selective Service. * Recruitment Incentives: Not Authorized * Bargaining Unit Status: No * Selectees are required to have a REAL ID or other acceptable identification documents to access certain federal facilities. See *************************** for more information. * Pre-Employment Physical: Required Qualifications Applicants will be rated in accordance with the Office of Personnel Management Qualification Standard for Trades and Labor Occupations. Although a specific length of time and experience is not required, you must meet any screen-out element listed, and show through experience and training that you possess the quality level of knowledge and skill necessary to perform the duties at the level for which you are applying. Emphasis is placed on how you gained the quality of experience, not necessarily the length of time, and the required ability or potential to perform the job. Applicants who do not meet the screen-out element (SOE) will be eliminated from further competition. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional, philanthropic, religious, spiritual, community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. In addition to the supervisory duties, the employee will be required to perform a variety of warehouse functions during peak work loads or to assist in the every day operations of the warehouse. The employee may occasionally be required to operate a forklift to support warehouse operations or loading and delivery of property (operates forklifts and related materials handling equipment to move, load and unload, stack or un-stack palletized materials). Based on visual examination, detects hidden defects such as, rust, defective equipment, broken and/or missing parts in mechanical or electronic systems. Makes positive identifications using technical manuals, working drawings and blue prints. Identifies scrap by visual, spark, chemical, magnetic and other test methods. Uses a variety of hand and powered tools. Subordinate employees are located in a defined geographical location and usually work in various locations, i.e., buildings, open storage areas. Additional information For Important General Applicant Information and Definitions go to: ****************************************************************** Reemployed Annuitants: This position does not meet criteria for appointment of Reemployed Annuitants. The DoD criteria for hiring Reemployed Annuitants can be found at: ********************************************************************************** Information for Veterans is available at: ************************************** As of 23 December 2016, Military retirees seeking to enter federal service in the Department of Defense now require a waiver if they would be appointed within 180 days following their official date of retirement. Drug-Free Workplace Policy The Defense Logistics Agency (DLA) is committed to maintaining a safe, drug-free workplace. All DLA employees are required to refrain from illegal drug use on and off duty. DLA conducts pre-employment, reasonable suspicion, post-accident, and random drug testing. Applicants tentatively selected for employment in testing designated positions will undergo a urinalysis to screen for illegal drug use prior to appointment. Refusal to undergo testing or testing positive for illegal drugs will result in withdrawal of the tentative job offer and a six-month denial of employment with DLA from the date of the drug test. Employees in drug testing designated positions are subject to random drug testing. The DLA drug testing panel tests for the following substances: marijuana, cocaine, opiates, heroin, phencyclidine, amphetamines, methamphetamines, fentanyl, nor-fentanyl, methylenedioxymethamphetamine (MDMA), methylenedioxyamphetamine (MDA), and opioids. ADVISORY: Use of cannabidiol (CBD) products may result in a positive drug test for marijuana. DLA employees are subject to Federal law and under Federal law, Marijuana is a Schedule I drug and is illegal. Additional guidance on writing a federal resume can be found at: USAJOBS Help Center - How do I write a resume for a federal job? The resume builder can help you create a resume using these recommendations and uses the information in your USAJOBS profile to help you get started. Expand Hide additional information Candidates should be committed to improving the efficiency of the Federal government, passionate about the ideals of our American republic, and committed to upholding the rule of law and the United States Constitution. Benefits Help A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits. Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. How you will be evaluated You will be evaluated for this job based on how well you meet the qualifications above. The assessments for this job will measure the following Job Elements/Competencies: * Plans, organizes, and directs all work activities for subordinate personnel to meet established goals and deadline. * Operates forklifts and related material handling equipment to move, load and unload, stack or un-stack palletized materials. * Based on visual examination, detects hidden defects such as, rust, defective equipment, broken and/or missing parts in mechanical or electronic systems. * Makes positive identifications using technical manuals, working drawings and blue prints. * Identifies scrap by visual, spark, chemical, magnetic and other test methods. * Uses a variety of hand and powered tools. * Determines special handling requirements (e.g. hazardous materials, strategic and precious metals, and security, etc.) and assigns appropriate instructions for warehousing. * Checks, sorts, identifies, groups and classifies items received by size, condition, stock number, part number, and/or classification. * Prepares discrepancy reports for items identified as incorrect. * Ensures proper documentation and certification accompanies materials. * Identifies, segregates, and processes material in accordance with established guidelines. * Uses guides such as computerized systems, microfiche records, and/or code reference manuals to assign classifications. * Decides if items are serviceable by checking for dents, broken and missing parts, corrosion, and compliance with contract provisions. * Determines correct item identification, classification and usage category. * Uses automated equipment to verify the accuracy of receiving and shipping documents. * Observes safety rules and procedures. * Maintains an excellent safety record while working in positions which involve frequent exposure to hazardous working conditions. * Performs work accurately, in a timely manner, and without accidents. * Ensures storage area is neat and clean in support of a safe work environment. * Follows proper safety procedures when operating materials handling equipment. Once the application process is complete, a review of your resume and supporting documentation may be completed and compared against your responses to the assessment questionnaire to determine if you are qualified for this job. The rating you receive is based on your responses to the assessment questionnaire. The score is a measure of the degree to which your background matches the job elements/competencies required for this position. If your resume and/or supporting documentation is reviewed and a determination is made that you have inflated your qualifications and or experience, you may lose consideration for this position. Please follow all instructions carefully. Errors or omissions may affect your rating. Benefits Help A career with the U.S. government provides employees with a comprehensive benefits package. As a federal employee, you and your family will have access to a range of benefits that are designed to make your federal career very rewarding. Opens in a new window Learn more about federal benefits. Review our benefits Eligibility for benefits depends on the type of position you hold and whether your position is full-time, part-time or intermittent. Contact the hiring agency for more information on the specific benefits offered. Required documents Required Documents Help To apply for this position you must provide a complete Application Package. Each Application Package MUST include: * Your Resume: IMPORTANT UPDATE: Your resume must not exceed two (2) pages. If your resume exceeds the two-page limit, you will be removed from consideration for this announcement. The resume and required supporting documentation should provide the minimum qualifications and relevant experience for the announced position. Must include the work schedule, hours worked per week, dates of employment, and duties performed. If multiple resumes are submitted by an applicant, only the last resume submitted will be reviewed for qualifications and referred for selection consideration, if eligible. The resume must not be more than 5MB and should be saved and uploaded as a PDF to maintain formatting and number of pages. We also accept GIF, JPG, JPEG, PNG, RTF, TXT, PDF, ODT or Word (DOC or DOCX). We do not accept PDF portfolio files. Page margins should be 0.5 inches, and font styles must be legible. Consider using 14-point size font for titles and 10-point for the main text. We recommend using a font like Lato, if available. Other widely available options are Calibri, Helvetica, Arial, Verdana, Open San Source Sans Pro, Roboto or Noro Sans. * Applicable documents to support the eligibility(s) for which you are applying. Please review the following link for a listing of the additional documents you will need to provide: Supporting Documents. Interagency Career Transition Assistance Program (ICTAP): If you are an eligible ICTAP applicant you may apply for special selection over other candidates for this position. To be well-qualified and exercise selection priority for this vacancy, displaced Federal employees must be rated at a score of 85 or higher for this position. ICTAP eligibles must submit one of the following as proof of eligibility for the special selection priority: a separation notice; a "Notice of Personnel Action" (SF-50) documenting separation; an agency certification that you cannot be placed after injury compensation has been terminated; an OPM notification that your disability annuity has been terminated; OR a Military Department or National Guard Bureau notification that you are retired under 5 U.S.C. 8337(h) or 8456. Priority Placement Program (PPP) DoD Military Spouse Preference (MSP): In order to receive this preference, you must choose to apply using the "Priority Placement Program, DoD Military Spouse Preference (MSP)" eligibility. If you are claiming MSP and are determined to be among the Best Qualified for the position, you may be referred to the hiring manager as a priority applicant. To be eligible as a MSP, you must submit the following supporting documents with your application package: Spouse's Permanent Change of Station (PCS) orders; Marriage Certificate or License; PPP Self Certification Checklist; Veterans' Preference documentation (e.g., DD-214, VA Letter, Statement of Service, if applicable); Transcripts (if applicable). These documents must provide acceptable information to verify: Residency within the commuting area of your sponsor's permanent duty station (PDS); proof of marriage to the active duty sponsor; proof of military member's active duty status; and other documentation required by the vacancy announcement to which you are applying. NOTE: Previous federal employees must also submit the following additional documentation: SF-50s (e.g., LWOP, highest grade held, overseas appointments, etc.), SF-75 information, and documentation of performance rating of record (dated within the last 12 months). Selected PPP MSP applicants will need to certify they have not accepted nor declined another offer of permanent, Federal employment (to include NAF and the military exchange services) since relocating to the military sponsor's current duty station. Priority Placement Program (PPP) DoD Retained Grade Preference (RGP): In order to receive this preference, you must choose to apply using the "Priority Placement Program, DoD Retained Grade Preference (RGP)" eligibility. If you are claiming RGP and are determined to be Well Qualified (score of 85 or above) for the position, you will be referred to the hiring manager as a priority applicant. Information and required documentation for claiming RGP may be found at the General Applicant Information and Definitions link below. To be eligible as a RGP, you must submit the following supporting documents with your application package: a signed Retained Grade PPP Self-Certification Checklist (DD3145-1 (whs.mil)); a copy of your Notification of Personnel Action (SF-50) effecting the placement in retained grade status; or a copy of the notification letter you received regarding the RIF or classification downgrade. If you are relying on your education to meet qualification requirements: Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from schools accredited by accrediting institutions recognized by the U.S. Department of Education. Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating. How to Apply Help To apply for this position, you must complete the online application and submit the documentation specified in the Required Documents section below. The complete application package must be submitted by 11:59 PM (EST) on the closing date to receive consideration. * To begin, click Apply Online to access an online application. Follow the prompts to select your USAJOBS resume and/or other supporting documents. You will need to be logged into your USAJOBS account or you may need to create a new account. * You will be taken to an online application. Complete the online application, verify the required documentation, and submit the application. NOTE: Resumes up to a total of two pages will be accepted. Your resume must not exceed two (2) pages. If your resume exceeds the two-page limit, you will be removed from consideration for this announcement. * You will receive an email notification when your application has been received for the announcement. * To verify the status of your application, log into your USAJOBS account, ************************ select the Application Status link and then select the More Information link for this position. The Application Status page will display the status of your application, the documentation received and processed, and your responses submitted to the online application. Your uploaded documents may take several hours to clear the virus scan process. To preview the questionnaire, please go to ********************************************************* Agency contact information DLA Disposition Svcs POC Phone ************ Email ******************************************* Address DLA Disposition Services 74 Washington Avenue North Suite 6 Battle Creek, MI 49017-3092 US Next steps Once you successfully complete the application process, you will receive a notification of receipt. Your application package will be reviewed to ensure you meet the basic eligibility and qualifications requirements, and you will receive a notification. A review may be completed of your online questionnaire and the documentation you submitted to support your responses. Applicants that are found among the most highly qualified may be referred to the hiring official for consideration, and you will receive a notification of referral. The selecting official may choose to conduct interviews, and as part of the selection process, applicants may be required to complete additional supplemental documents. Once the selection is made, you will receive a notification of the decision. If interviews are conducted, DLA uses a technique called Behavior Based Interviewing (BBI). Be sure to check your USA Jobs account for your notification updates. Fair and transparent The Federal hiring process is set up to be fair and transparent. Please read the following guidance. Criminal history inquiries Equal Employment Opportunity (EEO) Policy Financial suitability New employee probationary period Privacy Act Reasonable accommodation policy Selective Service Signature and false statements Social security number request Required Documents Help To apply for this position you must provide a complete Application Package. Each Application Package MUST include: * Your Resume: IMPORTANT UPDATE: Your resume must not exceed two (2) pages. If your resume exceeds the two-page limit, you will be removed from consideration for this announcement. The resume and required supporting documentation should provide the minimum qualifications and relevant experience for the announced position. Must include the work schedule, hours worked per week, dates of employment, and duties performed. If multiple resumes are submitted by an applicant, only the last resume submitted will be reviewed for qualifications and referred for selection consideration, if eligible. The resume must not be more than 5MB and should be saved and uploaded as a PDF to maintain formatting and number of pages. We also accept GIF, JPG, JPEG, PNG, RTF, TXT, PDF, ODT or Word (DOC or DOCX). We do not accept PDF portfolio files. Page margins should be 0.5 inches, and font styles must be legible. Consider using 14-point size font for titles and 10-point for the main text. We recommend using a font like Lato, if available. Other widely available options are Calibri, Helvetica, Arial, Verdana, Open San Source Sans Pro, Roboto or Noro Sans. * Applicable documents to support the eligibility(s) for which you are applying. Please review the following link for a listing of the additional documents you will need to provide: Supporting Documents. Interagency Career Transition Assistance Program (ICTAP): If you are an eligible ICTAP applicant you may apply for special selection over other candidates for this position. To be well-qualified and exercise selection priority for this vacancy, displaced Federal employees must be rated at a score of 85 or higher for this position. ICTAP eligibles must submit one of the following as proof of eligibility for the special selection priority: a separation notice; a "Notice of Personnel Action" (SF-50) documenting separation; an agency certification that you cannot be placed after injury compensation has been terminated; an OPM notification that your disability annuity has been terminated; OR a Military Department or National Guard Bureau notification that you are retired under 5 U.S.C. 8337(h) or 8456. Priority Placement Program (PPP) DoD Military Spouse Preference (MSP): In order to receive this preference, you must choose to apply using the "Priority Placement Program, DoD Military Spouse Preference (MSP)" eligibility. If you are claiming MSP and are determined to be among the Best Qualified for the position, you may be referred to the hiring manager as a priority applicant. To be eligible as a MSP, you must submit the following supporting documents with your application package: Spouse's Permanent Change of Station (PCS) orders; Marriage Certificate or License; PPP Self Certification Checklist; Veterans' Preference documentation (e.g., DD-214, VA Letter, Statement of Service, if applicable); Transcripts (if applicable). These documents must provide acceptable information to verify: Residency within the commuting area of your sponsor's permanent duty station (PDS); proof of marriage to the active duty sponsor; proof of military member's active duty status; and other documentation required by the vacancy announcement to which you are applying. NOTE: Previous federal employees must also submit the following additional documentation: SF-50s (e.g., LWOP, highest grade held, overseas appointments, etc.), SF-75 information, and documentation of performance rating of record (dated within the last 12 months). Selected PPP MSP applicants will need to certify they have not accepted nor declined another offer of permanent, Federal employment (to include NAF and the military exchange services) since relocating to the military sponsor's current duty station. Priority Placement Program (PPP) DoD Retained Grade Preference (RGP): In order to receive this preference, you must choose to apply using the "Priority Placement Program, DoD Retained Grade Preference (RGP)" eligibility. If you are claiming RGP and are determined to be Well Qualified (score of 85 or above) for the position, you will be referred to the hiring manager as a priority applicant. Information and required documentation for claiming RGP may be found at the General Applicant Information and Definitions link below. To be eligible as a RGP, you must submit the following supporting documents with your application package: a signed Retained Grade PPP Self-Certification Checklist (DD3145-1 (whs.mil)); a copy of your Notification of Personnel Action (SF-50) effecting the placement in retained grade status; or a copy of the notification letter you received regarding the RIF or classification downgrade. If you are relying on your education to meet qualification requirements: Education must be accredited by an accrediting institution recognized by the U.S. Department of Education in order for it to be credited towards qualifications. Therefore, provide only the attendance and/or degrees from schools accredited by accrediting institutions recognized by the U.S. Department of Education. Failure to provide all of the required information as stated in this vacancy announcement may result in an ineligible rating or may affect the overall rating.
    $33.7-39.3 hourly 13d ago
  • Experienced ABL Field Examiner

    LCG Advisors 4.2company rating

    Remote supervisory examiner job

    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
    $55k-80k yearly est. 60d+ ago
  • Senior Branch Examiner

    Royal Bank of Canada 4.3company rating

    Remote supervisory examiner job

    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: 2025-12-31 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.
    $70k-130k yearly 2d ago
  • BANK EXAMINER 4 - 12222025-63834

    State of Tennessee 4.4company rating

    Remote supervisory examiner job

    Job Information State of Tennessee Job Information Opening Date/Time12/22/2025 12:00AM Central TimeClosing Date/Time01/04/2026 11:59PM Central TimeSalary (Monthly)$6,544.00 - $10,363.00Salary (Annually)$78,528.00 - $124,356.00Job TypeFull-TimeCity, State LocationKnoxville, TNDepartmentFinancial Institutions LOCATION OF (2) POSITION(S) TO BE FILLED: DEPARTMENT OF FINANCIAL INSTITUTIONS, BANK EXAMINATION EAST DIVISION, KNOX COUNTY A valid motor vehicle license is required. Higher education transcripts required with application. This position is hybrid with remote work and some required travel. This position requires a criminal background check. Therefore, you may be required to provide information about your criminal history in order to be considered for this position. Qualifications * Graduation from an accredited college or university with a bachelor's degree in finance, accounting, banking or business-related field and a minimum of nine semester hours of accounting and/or finance; and experience equivalent to four years of full-time professional bank examination work with a federal or state agency. * must demonstrate satisfactory completion of the FDIC Introduction to Examination School, or equivalent training provided by the Conference of State Bank Supervisors or Federal Reserve; * must demonstrate satisfactory completion of the FDIC Financial Institution Analysis School, or equivalent training provided by the Conference of State Bank Supervisors or Federal Reserve; * must demonstrate satisfactory completion of the FDIC Asset Liability Management School, or equivalent training provided by the Conference of State Bank Supervisors or Federal Reserve; * must demonstrate satisfactory completion of the FDIC Loan Analysis School, or equivalent training provided by the Conference of State Bank Supervisors or Federal Reserve; * must demonstrate satisfactory completion of the FDIC Examination Management School, or equivalent training provided by the Conference of State Bank Supervisors or Federal Reserve; * must possess and maintain a valid motor vehicle license. Overview Under general supervision, is responsible for professional bank examination work of considerable difficulty; and performs related work as required. This is the lead class in the Bank Examiner sub-series. An employee in this class is responsible for serving as the Examiner in Charge (EIC) for a team of subordinate bank examiners in directing and conducting examinations of large, complex and/or troubled state chartered financial institutions. Work involves examining bank and other financial institution records and financial statements and preparing reports to ensure that bank operations and financial conditions adhere to the banking laws, rules and regulations of the state. Responsibilities * Lead- For the examination of complex, troubled, and satisfactorily rated institutions, serve as Examiner-in-Charge leading the examination team, serve as Asset Manager overseeing the examination team's evaluation of loans, other real estate, and investments, and serve as Operations Manager overseeing the team's evaluation of capital, earnings, liquidity, interest rate risk, and internal controls. Risk-focuses examination procedures and employees a regulatory balance approach to all examination activities. * Make Decisions and Solve Problems- Determine initial CAMELS ratings, determines initial loan ratings, assesses and determines if the financial institutions' overall risk management policies and procedures are sufficient and effective in averting risk, and interprets regulatory statutes, guidelines, policies, and procedures for internal and external customers to ensure that financial institutions are meeting all state and federal guidelines. * Analyze Data or Information- Reviews and analyzes loans to determine credit quality, potential risk of loss to capital. Reviews appropriateness of Allowance for Credit Losses. Examines and analyzes the capital position, earnings profile, liquidity position, sensitivity to market risk posture, other real estate portfolio, and Bank Secrecy Act / Anti-Money Laundering program. * Organize, Plan, and Prioritize Work- Completes examination preplanning and scoping assignments, manages and prioritizes multiple work assignments, and organizes, plans, and oversees meetings with financial institution management/directorate and other regulatory agencies. * Communicate Information- Establishes and maintains a diverse array of professional relationships with executives from financial institutions, federal counterparts, accountants, and legal professionals to ensure a comprehensive understanding of the institutions under our regulation. Engage collaboratively with federal regulators and banking industry representatives to foster a balanced and consistent regulatory framework. * Prepare and Review Written Comments, Analyses, and Related Documentation- Write comments and analyses for examination reports, scope memoranda, work papers, and other documentation to support findings, conclusions, and ratings. Reviews comments and analyses prepared by other members of the examination team to determine accuracy and relevancy. * Relevant Industry Knowledge- Maintains up-to-date knowledge of regulatory processes, procedures, regulatory, and industry trends. Provide positive coaching to team members. Actively participate in required schools/training and complete requisite pre-course work when applicable. * Travel- Travel to examination and other work sites. Travel to in-state and out-of-state locations to complete examination training. Competencies (KSA's) Competencies: * Communicates Effectively * Action Oriented * Manages Complexity * Manages Conflict * Courage Knowledge: * Financial Accounting * Economic Principles * Financial Statements * Statistical Data Analysis * Financial Laws, Procedures & Publications Skills: * Problem Solving * Critical Thinking * Financial Mathematics * Mentoring * Presentation/Public Speaking Abilities: * Application of legal standard & procedure * Technical Writing * Data Entry * Lift up to 40 lbs * Sedentary Work Tools & Equipment * Laptop Computer * Basic Office Equipment * Financial Calculator * Microsoft Office Suite * Motor Vehicle TN Driver Standards State of Tennessee positions that may involve driving responsibilities require candidates to meet the following minimum driver qualifications: * A valid driver's license * For the past five years, the candidate's driver record must not have record of the following violations: driving under the influence (DUI), reckless driving, license suspension for moving violations, more than 4 moving violations. Please include your Driver's License Information under the Licenses and Certifications section of your application. Agencies may allow an exception based on other factors.
    $37k-48k yearly est. 8d ago
  • Financial Examiner

    RSM 4.4company rating

    Remote supervisory examiner job

    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.
    $69.8k-132k yearly Auto-Apply 60d+ ago
  • Senior Branch Examiner

    Royal Bank of Canada 4.3company rating

    Remote supervisory examiner job

    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: 2025-12-31 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.
    $70k-130k yearly Auto-Apply 37d ago
  • Financial Examiner

    Rsm 4.4company rating

    Remote supervisory examiner job

    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.
    $69.8k-132k yearly Auto-Apply 15d ago

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