Senior Advisor, Compliance, PCG Branch Exams

🕒 July 22

🗽 New York – Remote

🗽 New York – Remote

💵 $75k - $95k / year

⏰ Full Time

🟠 Senior

🚔 Compliance

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Raymond James

WebsiteLinkedInAll Job Openings

10,000+ employees

Founded 1962

💼 Consulting

🛡️ Insurance

💸 Finance

Consulting • Insurance • Finance

Raymond James is a global financial services firm that offers a comprehensive range of investment solutions including wealth management, asset management, and investment banking services. The firm specializes in providing tailored financial planning and investment advice to individuals and institutions, with a focus on retirement planning, estate management, and financial education. Backed by a strong team of financial advisors and industry expertise, Raymond James is committed to helping clients achieve their financial goals through personalized services.

📋 Description

• Execute risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches • Detail documentation of testing in branch exam system and related work papers • Ensure prescribed sample methodologies are used • Use professional judgement for risk area identification • Communicate exam findings to branch management and compliance leadership • Provide reporting of exam findings and follow up in a timely manner • Ensure risks and adverse trends are identified and escalated • Maintain regular interaction with Compliance and Supervision partners • Complete special and ad hoc reviews and projects as identified • Provide guidance and mentoring to less-experienced members

🎯 Requirements

• 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 • Required to have a Series 7, 24 or willing to obtain within 120 days of employment • Series 9 and 10 can be used instead of the 24

🏖️ Benefits

• Medical, dental, and vision insurance • Life insurance • Critical illness insurance and accident insurance • Disability benefits • Retirement savings • Paid time off (including vacation, holidays, and sick leave) • Parental leave