Senior Advisor, Compliance Pcg Branch Exams

Willenborg Wealth Management

Remote
Base: $80,000.00-$95,000.00; bonus/equity: not spe...
Remote
Securities industry knowledge
Finra and state regulations
Risk-based branch exam program
Conduct 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 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.
  • Execute the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country, ensuring prescribed sample methodologies are used.
  • Provide guidance and mentoring to less-experienced peer group members and maintain regular interaction with Compliance and Supervision partners.

Matching Summary

Conduct 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: $80,000.00-$95,000.00; Bonus/Equity: Not specified; Benefits: Eligible for benefits package

Skills & Requirements

Must-have

  • Securities industry knowledge
  • FINRA and state regulations
  • Risk-based branch exam program
  • Detailed documentation of testing
  • Clear communication of findings

Nice-to-have

  • Building strong relationships
  • Delivering difficult messages
  • Proactive identification of risks
  • Problem-solving in complex environments

Key Requirements

  • Minimum three years of licensed examination experience
  • Bachelor's degree or equivalent experience
  • 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