Senior Advisor, Compliance Pcg Branch Exams

Chartwell Investment Partners

Base: $80,000.00-$95,000.00; bonus/equity: discret...
Fully remote
Series 7 or series 24 license required
3 years licensed examination experience
Knowledge of sec finra state rules
The role involves executing a risk-based branch exam program across FINRA-registered and non-registered Private Client Group branches throughout the U.S

Job Summary

  • The role involves executing a risk-based branch exam program across FINRA-registered and non-registered Private Client Group branches throughout the U.S.
  • Candidates must possess advanced knowledge of securities industry concepts, broker/dealer compliance, and relevant regulatory frameworks.
  • The position offers a competitive salary range of $80,000 to $95,000 along with a comprehensive benefits package including medical, dental, vision, and retirement savings.

Matching Summary

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

Salary

Base: $80,000.00-$95,000.00; Bonus/Equity: Discretionary bonuses or commissions may apply; Benefits: Medical, dental, vision, life insurance, disability, retirement, PTO, parental leave

Skills & Requirements

Must-have

  • Series 7 or Series 24 license required
  • 3 years licensed examination experience
  • Knowledge of SEC FINRA state rules

Nice-to-have

  • Strong communication and diplomacy skills
  • Ability to mentor less-experienced peers
  • Proactive identification of emerging risks

Key Requirements

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

Work Rights

Not specified

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