Raymond James · 3 days ago
Sr. Advisor, Compliance PCG Branch Exams
New York, United States
Full-time
Hybrid
Mid, Senior Level
$80K/yr - $95K/yr
3+ years expRaymond James is a financial services firm, and they are seeking a Senior Advisor for Compliance in their Private Client Group. The role involves conducting branch examinations to ensure adherence with firm policies and regulatory requirements, as well as documenting and communicating exam findings.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
Responsibilities
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
Use professional judgement to know when to “ask the next question” as potential risk areas are identified
Apply the appropriate risk weight to a given testing activity and/or finding level
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
Qualification
Required
Bachelor's degree (B.A. /B.S.) and a minimum of three (3) years of licensed examination experience
Any equivalent combination of experience, education, and/or training approved by Human Resources
Appropriate series license(s) for assigned functional area required or the ability to obtain within an 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
Advanced knowledge of concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams
Advanced knowledge of rules and regulations of the SEC, FINRA, and state securities regulatory agencies
Advanced knowledge of fundamental investment concepts, practices, and procedures used in the securities industry
Advanced knowledge of financial markets and products
Skill in thorough and balanced documentation of work product
Skill in clear, concise, cross-functional communications, both written and oral
Skill in identification of opportunities for the development, enhanced consistency, and ongoing maintenance of the branch exam program
Skill in building strong relationships based on mutual respect, trust, and understanding
Skill in establishing credibility with others, presenting oneself with confidence, and holding one's ground when faced with pushback
Skill in delivering difficult messages with sensitivity, tact, and diplomacy
Skill in proactive identification of emerging risk areas and/or adverse trends and escalations of same to exam management for suggestions on mitigation
Skill in problem-solving in a complex environment
Skill in effectively navigating the organization to obtain information and achieve objectives
Demonstrated proficiency in Microsoft Word and Excel
Ability to work under pressure on multiple tasks concurrently in a fast-paced work environment
Ability to manage time exceptionally well and remain highly organized
Ability to gain a thorough understanding and application of PCG policies and procedures
Ability to shift focus from one activity to another without impacting the quality of the work
Ability to constructively handle disagreements or conflicts to reach a resolution
Ability to apply industry experience to proactively identify and anticipate existing and emerging compliance risks
Ability to work well independently, but also collaboratively with the team
Preferred
Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred
Company
Raymond James
Raymond James provides a range of investment banking services focused on the telecommunications and communications sectors.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$1.5B2025-09-09Post Ipo Debt· $1.5B
1983-07-01IPO
Leadership Team
James Sickling
COO - Fixed Income
Eric Lauzon
SVP Growth & Development, Private Client Group
Recent News
TradingView
2025-12-16
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