Sr. Advisor, Compliance Pcg Branch Exams

Willenborg Wealth Management

Remote
$80,000.00-$95,000.00; not specified; not specifie...
Remote
Risk-based branch exam program
Finra-registered and non-registered branches
Documentation of testing
Willenborg Wealth Management is seeking a Senior Advisor for Compliance Pcg Branch Exams to oversee the execution of risk-based branch exams for their Private Client Group. The position requires strong documentation skills, compliance knowledge, and the ability to effectively communicate findings, all while working in a remote environment

Job Summary

  • Execute the risk-based branch exam program across FINRA-registered and non-registered Private Client Group branches nationwide.
  • Ensure thorough documentation of testing, apply appropriate risk weights, and clearly communicate exam findings to management and leadership.
  • Provide compliance support, maintain interaction with partners, and complete special reviews and projects in a quality and timely manner.

Matching Summary

Match Score: 85

Willenborg Wealth Management is seeking a Senior Advisor for Compliance Pcg Branch Exams to oversee the execution of risk-based branch exams for their Private Client Group. The position requires strong documentation skills, compliance knowledge, and the ability to effectively communicate findings, all while working in a remote environment.

Salary

$80,000.00-$95,000.00; Not specified; Not specified

Skills & Requirements

Must-have

  • Risk-based branch exam program
  • FINRA-registered and non-registered branches
  • Documentation of testing
  • Sample methodologies and sizes
  • Identification and escalation of risks
  • Communication of exam findings

Nice-to-have

  • Proactive risk identification
  • Building strong relationships
  • Navigating the organization
  • Delivering difficult messages

Key Requirements

  • Minimum three (3) years of licensed examination experience
  • Bachelor’s degree (B.A. /B.S.) or equivalent
  • Series 7, 24 or willingness to obtain within 120 days
  • Series 9 and 10 can be used instead of 24

Work Rights

Not specified

Tailored Resume

Cover Letter