Senior Advisor, Compliance – PCG Branch Exams

🕒 May 8

🗽 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

💸 Finance

Finance • Wealth Management • Investment Banking

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

• 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

🎯 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 (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

🏖️ Benefits

• 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