Sr. Advisor, Compliance Pcg Branch Exams

Raymond James

Remote
$80,000.00-$95,000.00 py
Remote
Risk-based branch exam program
Finra-registered branches
Securities industry concepts
Raymond James is seeking a Sr. Advisor for Compliance in their Private Client Group Branch Exams, offering a remote position focused on executing risk-based branch exams and ensuring compliance with SEC and FINRA regulations. The ideal candidate should possess advanced knowledge of the securities industry, strong communication skills, and a minimum of three years of relevant experience, along with appropriate licenses

Job Summary

  • Execute the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country.
  • Provide compliance support to business partners and maintain regular interaction with Compliance and Supervision partners.
  • Gain a thorough understanding and application of PCG policies and procedures while working under pressure on multiple tasks concurrently.

Matching Summary

Match Score: 85

Raymond James is seeking a Sr. Advisor for Compliance in their Private Client Group Branch Exams, offering a remote position focused on executing risk-based branch exams and ensuring compliance with SEC and FINRA regulations. The ideal candidate should possess advanced knowledge of the securities industry, strong communication skills, and a minimum of three years of relevant experience, along with appropriate licenses.

Salary

$80,000.00-$95,000.00

Skills & Requirements

Must-have

  • Risk-based branch exam program
  • FINRA-registered branches
  • Securities industry concepts
  • SEC and FINRA regulations
  • Financial markets and products
  • Clear communication of findings

Nice-to-have

  • Proactive risk identification
  • Problem-solving in complex environment
  • Building strong relationships
  • Delivering difficult messages with sensitivity
  • Mentoring less-experienced peers

Key Requirements

  • Minimum three years of licensed examination experience
  • Bachelor's degree (B.A./B.S.) or equivalent combination of experience/education
  • Series 7, 24, or 9/10 license required or ability to obtain within 120 days

Work Rights

Not specified

Tailored Resume

Cover Letter