Senior Advisor, Compliance – PCG Branch Exams

🔥 0 minutes ago

🗽 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.

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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 the risk-based branch examination program in FINRA-registered and non-registered Private Client Group branches across the country • Conduct onsite branch examinations of retail brokerage offices throughout the U.S. • Review supervisory systems, physical-location settings and circumstances, onsite files, related documentation, and employee interviews • Document testing activities in the branch exam system and related work papers • Apply prescribed sample methodologies and appropriate risk weights to testing activities and findings • Communicate exam findings to branch management, exam managers, and compliance leadership • Report exam findings and complete related follow-up promptly • Identify and escalate risks and adverse trends • Provide compliance support to business partners • Maintain regular interaction with Compliance and Supervision partners • Complete special and ad hoc reviews and projects • Provide guidance and mentoring to less-experienced peer group members

🎯 Requirements

• Bachelor’s degree (B.A./B.S.) and a minimum of three (3) years of licensed examination experience, or an equivalent combination of experience, education, and/or training approved by Human Resources • Appropriate series license(s) for the assigned functional area required, or ability to obtain within an established timeframe • Series 7 and Series 24, or willingness to obtain Series 24 within 120 days of employment; Series 9 and 10 may be used instead of Series 24 • Advanced knowledge of securities industry, broker/dealer compliance, and/or branch exams • Knowledge of SEC, FINRA, and state securities regulatory rules and regulations • Knowledge of investment concepts, financial markets, and financial products • Thorough and balanced work-product documentation • Clear written and oral cross-functional communication • Proficiency in Microsoft Word and Excel • Ability to manage multiple concurrent tasks in a fast-paced environment • Ability to manage time exceptionally well and remain highly organized • Ability to work independently and collaboratively • Up to 50% travel

🏖️ Benefits

• Medical, dental, and vision insurance • Life insurance • Critical illness insurance • Accident insurance • Disability benefits • Retirement savings • Paid time off, including vacation, holidays, and sick leave • Parental leave • Professional development opportunities • Enriching networking groups • Diversity and inclusion support