Senior Advisor, Compliance – PCG Branch Exams

🕒 il y a 1 mois

🗽 New York – Distant

🗽 New York – Remote

💵 $75 000 - $95 000 / an

⏰ Temps Plein

🟠 Senior

🚔 Conformité

🦅 Parrain de Visa H1B

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Raymond James

Site WebLinkedInTous les Emplois

10 000+ employés

Fondée en 1962

💸 Finance

Finance • Wealth Management • Investment Banking

Raymond James est une entreprise de services financiers mondiale qui propose une gamme complète de solutions d'investissement, y compris la gestion de patrimoine, la gestion d'actifs et des services de banque d'investissement. L'entreprise se spécialise dans la fourniture de conseils financiers et de planification sur mesure pour les particuliers et les institutions, en mettant l'accent sur la planification de la retraite, la gestion de patrimoine et l'éducation financière. Soutenue par une solide équipe de conseillers financiers et une expertise sectorielle, Raymond James s'engage à aider ses clients à atteindre leurs objectifs financiers grâce à des services personnalisés.

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

🎯 Exigences

• 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

🏖️ Avantages

• 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