Senior Advisor, Compliance Pcg Branch Exams

Raymond James

Base: $80,000.00-$95,000.00; bonus/equity: not spe...
Fully remote
Experience in securities industry
Risk-based branch exam execution
Detailed documentation skills
The role involves conducting branch examinations to ensure compliance with regulations

Job Summary

  • The role involves conducting branch examinations to ensure compliance with regulations.
  • Candidates will be responsible for documenting testing activities and communicating findings.
  • Raymond James values a people-first culture and promotes professional growth.

Matching Summary

The role involves conducting branch examinations to ensure compliance with regulations.

Salary

Base: $80,000.00-$95,000.00; Bonus/Equity: Not specified; Benefits: Medical, dental, vision, and more

Skills & Requirements

Must-have

  • Experience in securities industry
  • Risk-based branch exam execution
  • Detailed documentation skills

Nice-to-have

  • Strong communication skills
  • Ability to mentor peers
  • Proactive risk identification

Key Requirements

  • Bachelor's degree required
  • Minimum three years of licensed examination experience
  • Series 7 and 24 licenses required

Work Rights

Not specified

Tailored Resume

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