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Raymond James · 1 day ago

Senior Advisor, Compliance PCG Branch Exams

New York, United States

Full-time

Hybrid

Mid, Senior Level

$80K/yr - $95K/yr

3+ years exp

Raymond James is a financial services firm seeking a Senior Advisor for Compliance PCG Branch Exams. The role involves conducting onsite branch examinations of retail brokerage offices to ensure adherence to policies and regulations, as well as documenting and communicating findings effectively.

BankingFinancial ServicesInformation TechnologyInsuranceWealth Management

Growth Opportunities

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

Securities industry knowledgeCompliance regulations knowledgeBranch examination experienceRisk assessment skillsMicrosoft Word proficiencyMicrosoft Excel proficiencyDocumentation skillsClear communicationProblem-solvingTime managementTeam collaboration