Senior Compliance Examiner

CIR

. Lead the planning, development, and implementation of strategic Compliance department initiatives .

Posted 9/29/2026full-timeRemote • UruguaySeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in financial services compliance, regulatory requirements, and audit practices, with a strong focus on developing and implementing efficient procedures. Possesses excellent communication, organization, and analytical skills to effectively manage compliance initiatives and training.

Highest-signal resume keywords

FINRA Series 7 LicenseFINRA Series 24 LicenseFINRA Series 63 LicenseFinancial Services ComplianceAudit Practices

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory RequirementsAudit ProceduresCompliance MonitoringAnalytical SkillsCritical-Thinking SkillsProcess ImprovementTraining DevelopmentIssue TrackingFormal Reporting

Soft Skills

Clear CommunicationOrganization SkillsTime ManagementJudgmentCollaboration Skills

Certifications & Qualifications

FINRA Series 65 LicenseFINRA Series 66 License

Industry Keywords

Compliance InitiativesFinancial Professional OfficesOn-Site AuditsVirtual AuditsContinuing Education

About the role

Key responsibilities & impact

Lead the planning, development, and implementation of strategic Compliance department initiatives
Develop and implement streamlined procedures and train team members on updated procedures
Conduct on-site and virtual audits of financial professional offices
Plan audit routes, schedule visits, and arrange flights, hotels, and rental cars
Monitor adherence to internal policies, procedures, rules, and regulations
Communicate regulatory updates to financial professionals and alert management to potential violations
Facilitate training and provide guidance on escalated audit deficiencies through resolution
Deliver Compliance support to management, company associates, and financial professionals
Track open issues and follow up to ensure resolution
Communicate pre- and post-audit results through formal written reports
Follow up to confirm concerns are corrected within specified timeframes
Maintain current knowledge of compliance regulations and industry topics
Complete continuing education required for FINRA licenses

Requirements

What you’ll need

FINRA Series 7, Series 24, Series 63, and either Series 65 or Series 66 licenses
Four or more years of related experience, education, and/or training
Strong knowledge of financial services compliance, regulatory requirements, and audit practices
Strong analytical and critical-thinking skills
Clear, professional written and verbal communication skills
Strong organization, planning, and time-management skills
Sound judgment, attention to detail, and discretion when handling sensitive or confidential information
Ability to work independently, make informed decisions, and escalate potential compliance concerns appropriately
Effective collaboration, coaching, and facilitation skills
Process-improvement mindset and ability to develop and implement efficient procedures
Flexibility and willingness to travel to financial professional offices as required
Valid driver’s license

Benefits

Comp & perks

Premium benefit package including medical, vision, dental, life and long-term disability insurance
Vacation/sick time
401K retirement plan with company matching program
Eleven paid holidays
Work/life balance promotion