Sr. Advisor, Compliance Pcg Branch Exams

Chartwell Investment Partners

Remote
Base: $80,000.00-$95,000.00; bonus/equity: not spe...
Remote
Risk-based branch exam program execution
Finra-registered and non-registered private client group branches
Documentation of testing in branch exam system
Chartwell Investment Partners is seeking a Sr. Advisor for Compliance in their Private Client Group, focusing on executing risk-based branch exams. The role requires a strong understanding of compliance regulations, effective communication skills, and the ability to manage multiple tasks in a fast-paced environment

Job Summary

  • Execute the risk-based branch exam program for FINRA-registered and non-registered Private Client Group branches nationwide.
  • Communicate exam findings clearly to branch management, exam managers, and compliance leadership, and provide reporting and follow-up in a timely manner.
  • Provide compliance support to business partners and maintain regular interaction with Compliance and Supervision partners.

Matching Summary

Match Score: 85

Chartwell Investment Partners is seeking a Sr. Advisor for Compliance in their Private Client Group, focusing on executing risk-based branch exams. The role requires a strong understanding of compliance regulations, effective communication skills, and the ability to manage multiple tasks in a fast-paced environment.

Salary

Base: $80,000.00-$95,000.00; Bonus/Equity: Not specified; Benefits: Not specified

Skills & Requirements

Must-have

  • Risk-based branch exam program execution
  • FINRA-registered and non-registered private client group branches
  • Documentation of testing in branch exam system
  • SEC, FINRA, and state securities regulations
  • Financial markets and products knowledge
  • Microsoft Word and Excel proficiency

Nice-to-have

  • Proactive risk identification and escalation
  • Guidance and mentoring to peers
  • Building strong relationships
  • Delivering difficult messages with sensitivity
  • Problem-solving in a complex environment

Key Requirements

  • Minimum three (3) years of licensed examination experience
  • Bachelor’s degree (B.A. /B.S.) or equivalent
  • Series 7, 24, or 9/10 license required or ability to obtain within 120 days

Work Rights

Not specified

Tailored Resume

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