Senior Advisor, Compliance PCG Branch Exams

🕒 July 22

🗽 New York – Remote

🗽 New York – Remote

💵 $75k - $95k / year

⏰ Full Time

🟠 Senior

🚔 Compliance

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

Apply Now

Find Similar Remote Jobs

Set Up Email Alert For New Jobs

📊 Check your resume score for this job

Improve your chances of getting an interview by checking your resume score before you apply.

Upload Resume

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

• Conduct onsite branch examinations of retail brokerage offices throughout the U.S. • Document testing activities and communicate results to branches • Ensure adherence with firm policies, procedures, and guidance, as well as federal and state rules and regulations • Provide clear communication of exam findings to branch management and exam managers • Maintain regular interaction with Compliance and Supervision partners • Provide compliance support to business partners as needed • Complete special and ad hoc reviews and projects as identified

🎯 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 ability to obtain within 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 • Additional licenses/certifications preferred

🏖️ Benefits

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