Raymond James

Senior Advisor, Compliance PCG Branch Exams (Remote Nationwide)

Remote - New York, United States of America · Senior

Sponsorship not specified$75k-$95kDetected 10 hours ago

ExcelLeadershipCommunicationProblem SolvingMentoringPublic SpeakingOrganizational SkillsMicrosoft Office

About the role

Examiner is responsible for detailed documentation of all testing activities, as well as communication of the testing results to the branches.
When associates bring their best authentic selves, our organization, clients, and communities thrive.
The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. #LI-AF1

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

Bachelor's degree (B.A. /B.S.) and a minimum of three (3) years of licensed examination experience.
Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe.
o Required to have a Series 7, 24 or willing to obtain within 120 days of employment

Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.

Job Description Summary
Execution of the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country
Detailed documentation of testing in branch exam system and related work papers
Ensure prescribed sample methodologies are used and resulting sample sizes provide an adequate reflection of the activity being tested
Use professional judgement to know when to "ask the next question" as potential risk areas are identified
Apply the appropriate risk weight to a given testing activity and/or finding level
Clear communication of all exam findings to branch management, exam managers and compliance leadership
Provide reporting of exam findings and complete any related follow up in a timely manner
Ensure risks and adverse trends are identified and escalated
Provide compliance support to business partners, as needed
Maintain regular interaction with Compliance and Supervision partners
Complete special and ad hoc reviews and projects, as identified, in a quality and timely manner

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions.

Grow professionally and inspire others to do the same
Work with and through others to achieve desired outcomes
Make prompt, pragmatic choices and act with the client in mind
Take ownership and hold themselves and others accountable for delivering results that matter
Contribute to the continuous evolution of the firm
The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

This listing is sourced directly from Raymond James's careers page and normalized into a canonical job model.