Advisor, Compliance Pcg Branch Exams

Raymond James

Unknown, Unknown, US
Base: $70,000.00-$80,000.00; bonus/equity: not spe...
Fully remote
Securities industry knowledge
Finra rules and regulations
Sec rules and regulations
Conduct remote and onsite branch examinations of retail brokerage offices throughout the U.S. to ensure adherence with firm policies, procedures, and guidance, as well as federal and state rules and regulations

Job Summary

  • Conduct remote and onsite branch examinations of retail brokerage offices throughout the U.S. to ensure adherence with firm policies, procedures, and guidance, as well as federal and state rules and regulations.
  • Responsible for detailed documentation of all testing activities, communication of testing results to branches, and timely reporting of exam findings and follow-up.
  • Role is anticipated to be a feeder position for the Sr. Examiner role through development and meeting licensing requirements.

Matching Summary

Conduct remote and onsite branch examinations of retail brokerage offices throughout the U.S. to ensure adherence with firm policies, procedures, and guidance, as well as federal and state rules and regulations.

Salary

Base: $70,000.00-$80,000.00; Bonus/Equity: Not specified; Benefits: Not specified

Skills & Requirements

Must-have

  • Securities industry knowledge
  • FINRA rules and regulations
  • SEC rules and regulations
  • Detailed documentation of testing
  • Risk-based branch exam program execution

Nice-to-have

  • Client-first focus
  • Integrity and independence
  • Long-term view
  • Continuous evolution of the firm
  • Authentic self expression

Key Requirements

  • FINRA Series 7 expected
  • FINRA Series 9/10 or 24 to be obtained
  • Bachelor's degree or equivalent experience
  • Minimum two years experience in Compliance or financial services

Work Rights

Not specified

Tailored Resume

Cover Letter