Senior Advisor, Compliance Pcg Branch Exams

Raymond James

Remote
$80,000.00-$95,000.00; not specified; not specifie...
Remote
Securities industry knowledge
Finra rules and regulations
Detailed documentation of testing
Raymond James is seeking a Senior Advisor for Compliance in their Private Client Group, responsible for conducting branch examinations to ensure adherence to regulations and policies. This remote position requires significant experience in the securities industry, particularly in compliance and risk assessment

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.
  • Responsible for detailed documentation of all testing activities, communication of testing results to branches, and reporting of exam findings.
  • This position requires advanced knowledge of securities industry concepts, broker/dealer compliance, and regulatory rules from SEC and FINRA.

Matching Summary

Match Score: 85

Raymond James is seeking a Senior Advisor for Compliance in their Private Client Group, responsible for conducting branch examinations to ensure adherence to regulations and policies. This remote position requires significant experience in the securities industry, particularly in compliance and risk assessment.

Salary

$80,000.00-$95,000.00; Not specified; Not specified

Skills & Requirements

Must-have

  • securities industry knowledge
  • FINRA rules and regulations
  • detailed documentation of testing
  • risk-based branch exam program
  • communication of exam findings

Nice-to-have

  • building strong relationships
  • delivering difficult messages
  • proactive risk identification
  • mentoring less-experienced peers

Key Requirements

  • Bachelor's degree or equivalent experience
  • Minimum of three years of licensed examination experience
  • Series 7, 24 or willingness to obtain within 120 days
  • Up to 50% travel

Work Rights

Not specified

Tailored Resume

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