Senior Advisor, Compliance PCG Branch Exams

Job Description Summary

Under administrative direction, uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage offices throughout the U.S. Exams include reviews of various supervisory systems, setting and circumstances of the physical location, onsite files, related documentation, and employee interviews to ensure adherence with firm policies, procedures, and guidance, as well as federal and state rules and regulations. Examiner is responsible for detailed documentation of all testing activities, as well as communication of the testing results to the branches.

Job Description

Essential Duties and Responsibilities

• Execution of the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country

• Detailed documentation of testing in branch exam system and related work papers

• Ensure prescribed sample methodologies are used and resulting sample sizes provide an adequate reflection of the activity being tested

• Use professional judgement to know when to “ask the next question” as potential risk areas are identified

• Apply the appropriate risk weight to a given testing activity and/or finding level

• Clear communication of all exam findings to branch management, exam managers and compliance leadership

• Provide reporting of exam findings and complete any related follow up in a timely manner

• Ensure risks and adverse trends are identified and escalated

• Provide compliance support to business partners, as needed

• Maintain regular interaction with Compliance and Supervision partners

• Complete special and ad hoc reviews and projects, as identified, in a quality and timely manner

• Provide guidance and mentoring to less-experienced peer group members

Knowledge, Skills, and Abilities

Advanced knowledge of:

• Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams

• Rules and regulations of the SEC, FINRA, and state securities regulatory agencies

• Fundamental investment concepts, practices, and procedures used in the securities industry

• Financial markets and products

Skill in:

• Thorough and balanced documentation of work product

• Clear, concise, cross-functional communications, both written and oral

• Identification of opportunities for the development, enhanced consistency, and ongoing maintenance of the branch exam program

• Building strong relationships based on mutual respect, trust, and understanding

• Establishing credibility with others, presenting oneself with confidence, and holding one’s ground when faced with pushback

• Delivering difficult messages with sensitivity, tact, and diplomacy

• Proactive identification of emerging risk areas and/or adverse trends and escalations of same to exam management for suggestions on mitigation

• Problem-solving in a complex environment

• Effectively navigating the organization to obtain information and achieve objectives

• Demonstrated proficiency in Microsoft Word and Excel

Ability to:

• Work under pressure on multiple tasks concurrently in a fast-paced work environment

• Manage time exceptionally well and remain highly organized

• Gain a thorough understanding and application of PCG policies and procedures

• Shift focus from one activity to another without impacting the quality of the work

• Constructively handle disagreements or conflicts to reach a resolution

• Apply industry experience to proactively identify and anticipate existing and emerging compliance risks

• Work well independently, but also collaboratively with the team

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) years of licensed examination experience.

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications:

• Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe.
o Required to have a Series 7, 24 or willing to obtain within 120 days of employment
o Series 9 and 10 can be used instead of the 24
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Education

Work Experience

Certifications

Salary Range

$75,000.00-$95,000.00

Travel

Up to 50%

Workstyle

Remote

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

We expect our associates at all levels to:
• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

Originally posted on Himalayas