Senior Advisor, Compliance – PCG Branch Exams

🕒 Maio 8

🗽 New York – Remoto

🗽 New York – Remote

💵 $75.000 - $95.000 / ano

⏰ Tempo Integral

🟠 Sênior

🚔 Conformidade

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Raymond James

SiteLinkedInTodas as Vagas

10.000+ funcionários

Fundada em 1962

💸 Finanças

Finance • Wealth Management • Investment Banking

A Raymond James é uma empresa global de serviços financeiros que oferece uma ampla gama de soluções de investimento, incluindo gestão de patrimônio, gestão de ativos e serviços de banco de investimento. A empresa se especializa em fornecer planejamento financeiro personalizado e consultoria de investimentos para indivíduos e instituições, com foco em planejamento de aposentadoria, gerenciamento de patrimônio e educação financeira. Apoiada por uma forte equipe de consultores financeiros e expertise na indústria, a Raymond James se compromete a ajudar os clientes a alcançarem seus objetivos financeiros por meio de serviços personalizados.

Descrição

• 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 • 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

🎯 Requisitos

• Bachelor’s degree (B.A. /B.S.) • Minimum of three (3) years of licensed examination experience • Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe (Series 7, 24 or willing to obtain within 120 days of employment) • Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred

🏖️ Benefícios

• 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) • Parental leave