Sr. Advisor, Compliance - Branch Examination (Remote Option Available)
Raymond James
United States
See who Raymond James has hired for this role
Job Summary:
Under administrative direction, uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage offices throughout the U.S. Exams include reviews of various supervisory systems, setting and circumstances of the physical location, onsite files, related documentation, and employee interviews to ensure adherence with firm policies, procedures, and guidance, as well as federal and state rules and regulations. Examiner is responsible for detailed documentation of all testing activities, as well as communication of the testing results to the branches.
Essential Duties and Responsibilities:
Knowledge, Skills, And Abilities
Advanced knowledge of:
Up to 50% of the time
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.
We expect our associates at all levels to:
Job :
Compliance
Primary Location :
United States
Organization :
RJF Corporate
Schedule :
Full-time
Shift :
Day Job
Travel :
Yes, 50 % of the Time
Salary Range: CO, NY, CA, WA (based on Education, Work Experience, and Geographic Location)
80k - 95k
Under administrative direction, uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage offices throughout the U.S. Exams include reviews of various supervisory systems, setting and circumstances of the physical location, onsite files, related documentation, and employee interviews to ensure adherence with firm policies, procedures, and guidance, as well as federal and state rules and regulations. Examiner is responsible for detailed documentation of all testing activities, as well as communication of the testing results to the branches.
Essential Duties and Responsibilities:
- 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
- Provide guidance and mentoring to less-experienced peer group members
Knowledge, Skills, And Abilities
Advanced knowledge of:
- Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams
- Rules and regulations of the SEC, FINRA, and state securities regulatory agencies
- Fundamental investment concepts, practices, and procedures used in the securities industry
- Financial markets and products
- Thorough and balanced documentation of work product
- Clear, concise, cross-functional communications, both written and oral
- Identification of opportunities for the development, enhanced consistency, and ongoing maintenance of the branch exam program
- Building strong relationships based on mutual respect, trust, and understanding
- Establishing credibility with others, presenting oneself with confidence, and holding one’s ground when faced with pushback
- Delivering difficult messages with sensitivity, tact, and diplomacy
- Proactive identification of emerging risk areas and/or adverse trends and escalations of same to exam management for suggestions on mitigation
- Problem-solving in a complex environment
- Effectively navigating the organization to obtain information and achieve objectives
- Demonstrated proficiency in Microsoft Word and Excel
- Work under pressure on multiple tasks concurrently in a fast-paced work environment
- Manage time exceptionally well and remain highly organized
- Gain a thorough understanding and application of PCG policies and procedures
- Shift focus from one activity to another without impacting the quality of the work
- Constructively handle disagreements or conflicts to reach a resolution
- Apply industry experience to proactively identify and anticipate existing and emerging compliance risks
- Work well independently, but also collaboratively with the team
- Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) years of licensed examination experience.
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
- Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe.
- Required to have a Series 7, 24 or willing to obtain within 120 days of employment
- Correspondence only: Series 9 and 10 can be used instead of the 24
- Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
Up to 50% of the time
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.
We expect our associates at all levels to:
- 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
Job :
Compliance
Primary Location :
United States
Organization :
RJF Corporate
Schedule :
Full-time
Shift :
Day Job
Travel :
Yes, 50 % of the Time
Salary Range: CO, NY, CA, WA (based on Education, Work Experience, and Geographic Location)
80k - 95k
-
Seniority level
Not Applicable -
Employment type
Full-time -
Job function
Finance and Sales -
Industries
Financial Services
Referrals increase your chances of interviewing at Raymond James by 2x
See who you knowGet notified about new Compliance Advisor jobs in United States.
Sign in to create job alertSimilar jobs
People also viewed
-
Are you, as a Supervisor, thinking about a career change to become a Business Analysis
Are you, as a Supervisor, thinking about a career change to become a Business Analysis
-
Senior Manager, Patient Content and Storytelling
Senior Manager, Patient Content and Storytelling
-
Executive Advisor
Executive Advisor
-
Senior Business Analyst
Senior Business Analyst
-
Advisor
Advisor
-
Executive Advisor
Executive Advisor
-
Senior Manager, Educator Advocacy
Senior Manager, Educator Advocacy
-
Senior Business Development Manager (Remote )
Senior Business Development Manager (Remote )
-
Senior Consultant/ Director
Senior Consultant/ Director
-
Senior Manager, Community Marketing - ModLab
Senior Manager, Community Marketing - ModLab
Looking for a job?
Visit the Career Advice Hub to see tips on interviewing and resume writing.
View Career Advice Hub