Sr. Advisor, Compliance Pcg Branch Exams

Chartwell Investment Partners

Base: $80,000.00-$95,000.00; bonus/equity: not spe...
Fully remote
Risk-based branch exam execution
Sec finra regulatory knowledge
Professional judgement in risk assessment
The role involves executing a risk-based branch exam program across FINRA-registered and non-registered Private Client Group branches

Job Summary

  • The role involves executing a risk-based branch exam program across FINRA-registered and non-registered Private Client Group branches.
  • Candidates must apply professional judgment to identify potential risk areas and escalate adverse trends to leadership.
  • The position requires maintaining regular interaction with Compliance and Supervision partners while providing guidance to peer group members.

Matching Summary

The role involves executing a risk-based branch exam program across FINRA-registered and non-registered Private Client Group branches.

Salary

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

Skills & Requirements

Must-have

  • Risk-based branch exam execution
  • SEC FINRA regulatory knowledge
  • Professional judgement in risk assessment
  • Clear cross-functional communication skills
  • Microsoft Word and Excel proficiency

Nice-to-have

  • Mentoring less-experienced peers
  • Proactive identification of emerging risks
  • Building strong stakeholder relationships
  • Navigating complex organizational structures

Key Requirements

  • Bachelor's degree required
  • Minimum 3 years licensed examination experience
  • Series 7 or Series 24 license required
  • Ability to obtain Series 9 and 10 if needed
  • Willingness to travel up to 50%

Work Rights

Not specified

Tailored Resume

Cover Letter