Raymond James
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.
Senior Advisor, Compliance PCG Branch Exams
🕒 February 20
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Raymond James
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
• Conduct onsite branch examinations of retail brokerage offices throughout the U.S. • Detailed documentation of all testing activities • Clear communication of all exam findings to branch management and compliance leadership
🎯 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 • Must have a Series 7, 24 or willing to obtain within 120 days of employment
🏖️ Benefits
• Health insurance • 401(k) matching • Flexible work hours • Paid time off • Remote work options
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