- United States
United States
Sr. Advisor, Compliance, Branch Examination (Remote Option Available)-2401277
Description
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.
Job Summary
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
Qualifications
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
Skill in
- 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
Ability to
- 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
Educational/Previous Experience Requirements
- Bachelor's degree (B.A. /B.S.) and a minimum ofthree (3) years of licensed examination experience.
~or~
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
- SIE required provided that an exemption or grandfathering cannot be applied.
- Series 7 and Series 24 Required
- Series 9/10 strongly preferred or ability to obtain within a designated time frame.
Travel
Up to 50% of the time
Raymond James Guiding BehaviorsAt Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firms core values of client-first, integrity, independence and a conservative, long-term view.We expect our associates at all levels toAt Raymond James as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. 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.
Job
Compliance
Primary Location
United States
Organization
RJF Corporate
Schedule
Full-time
Shift
Day Job
Travel
Yes, 50 % of the TimeSalary Range CO, CA, DC, HI, IL, NJ, NY, WA (based on Education, Work Experience, and Geographic Location)80-95#LI-AM1