Senior Advisor, Compliance – PCG Branch Exams
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Job Description
Senior Compliance Advisor conducting risk-based branch examinations across U.S. brokerage offices. Reviewing compliance systems, documenting findings, and escalating emerging risks for Raymond James financial services.
Responsibilities:
- Execute the risk-based branch examination program in FINRA-registered and non-registered Private Client Group branches across the country
- Conduct onsite branch examinations of retail brokerage offices throughout the U.S.
- Review supervisory systems, physical-location settings and circumstances, onsite files, related documentation, and employee interviews
- Document testing activities in the branch exam system and related work papers
- Apply prescribed sample methodologies and appropriate risk weights to testing activities and findings
- Communicate exam findings to branch management, exam managers, and compliance leadership
- Report exam findings and complete related follow-up promptly
- Identify and escalate risks and adverse trends
- Provide compliance support to business partners
- Maintain regular interaction with Compliance and Supervision partners
- Complete special and ad hoc reviews and projects
- Provide guidance and mentoring to less-experienced peer group members
Requirements:
- Bachelor’s degree (B.A./B.S.) and a minimum of three (3) years of licensed examination experience, or an equivalent combination of experience, education, and/or training approved by Human Resources
- Appropriate series license(s) for the assigned functional area required, or ability to obtain within an established timeframe
- Series 7 and Series 24, or willingness to obtain Series 24 within 120 days of employment; Series 9 and 10 may be used instead of Series 24
- Advanced knowledge of securities industry, broker/dealer compliance, and/or branch exams
- Knowledge of SEC, FINRA, and state securities regulatory rules and regulations
- Knowledge of investment concepts, financial markets, and financial products
- Thorough and balanced work-product documentation
- Clear written and oral cross-functional communication
- Proficiency in Microsoft Word and Excel
- Ability to manage multiple concurrent tasks in a fast-paced environment
- Ability to manage time exceptionally well and remain highly organized
- Ability to work independently and collaboratively
- Up to 50% travel
Benefits:
- Medical, dental, and vision insurance
- Life insurance
- Critical illness insurance
- Accident insurance
- Disability benefits
- Retirement savings
- Paid time off, including vacation, holidays, and sick leave
- Parental leave
- Professional development opportunities
- Enriching networking groups
- Diversity and inclusion support
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