Sr. Advisor, Compliance Pcg Branch Exams

Raymond James

$80,000.00-$95,000.00; bonus/equity: not specified...
Fully remote
Risk-based branch exam program execution
Advanced knowledge of securities industry
Clear communication of exam findings
The role involves executing a risk-based branch exam program across the country

Job Summary

  • The role involves executing a risk-based branch exam program across the country.
  • Candidates will ensure compliance with SEC, FINRA, and state regulations.
  • Raymond James values a people-first culture and encourages professional growth.

Matching Summary

The role involves executing a risk-based branch exam program across the country.

Salary

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

Skills & Requirements

Must-have

  • Risk-based branch exam program execution
  • Advanced knowledge of securities industry
  • Clear communication of exam findings

Nice-to-have

  • Proactive identification of emerging risks
  • Building strong relationships
  • Mentoring less-experienced peers

Key Requirements

  • Bachelor’s degree and three years of experience
  • Series 7 and 24 licenses required
  • Ability to work under pressure in fast-paced environment

Work Rights

Not specified

Tailored Resume

Cover Letter