Senior Advisor, Compliance PCG Branch Exams

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Job Overview

The Senior Advisor, Compliance PCG Branch Exams position at Raymond James plays a critical role in ensuring the compliance of retail brokerage offices throughout the United States. Under administrative guidance, this role utilizes advanced knowledge and skills acquired through experience and specialized training. The focus is on conducting onsite branch examinations to assess adherence to company policies, procedures, and federal/state regulations.

Essential Duties and Responsibilities

The responsibilities of the Senior Advisor are diverse and complex. Key duties include:

• Execution of Risk-Based Branch Exams: The advisor will conduct exams across both FINRA-registered and non-registered Private Client Group branches.

• Detailed Documentation: It involves thorough documentation of all testing activities, maintaining records in the branch exam system and related work papers.

• Sample Methodologies: Adherence to prescribed methodologies during examinations is crucial to ensure a reflective sample size of the activities being tested.

• Risk Identification: The advisor must apply professional judgment during examinations to identify potential risks and escalate those upward.

• Clear Communication: Effectively communicating exam findings to branch management and compliance leadership is a significant aspect of this role.

• Compliance Support: Providing ongoing support to business partners while maintaining regular interactions with Compliance and Supervision teams.

In addition, the Senior Advisor may engage in special projects and provide mentorship to less-experienced colleagues.

Knowledge, Skills, and Abilities

Candidates are expected to possess a strong foundation in securities industry practices, particularly regarding regulatory compliance and branch exams, along with a keen understanding of the following:

• SEC and FINRA Regulations: Familiarity with the rules and regulations set forth by these bodies.
• Documentation Skills: The ability to produce thorough and balanced documentation is crucial for success.
• Communication Skills: Clear verbal and written communication skills are essential for cross-functional interactions.
• Relationship Building: Candidates should excel in building respectful and trustworthy relationships with peers and management.
• Problem-Solving: The environment demands effective problem-solving strategies, especially regarding identified risk areas.
• Proficiency in Tools: The candidate should be proficient in Microsoft Word and Excel, useful for documentation and reporting tasks.

Educational and Experience Requirements

To qualify for the role, candidates must have:

• A Bachelor’s degree (B.A. /B.S.) and a minimum of three years of licensed examination experience.
• Alternatively, equivalent combinations of education and experience acceptable to Human Resources may be considered.
• Required licenses include Series 7 and 24 (or the willingness to obtain them within 120 days of employment). Series 9 and 10 licenses may also be considered.

Salary and Compensation

The total compensation for the Senior Advisor position ranges from $80,000 to $95,000 per year, reflecting the candidate’s experience and qualifications. Additionally, the compensation package may include:

• Benefits: Health coverage options including medical, dental, and vision insurance, life insurance, as well as short-term and long-term disability benefits.
• Retirement Savings: Opportunities for retirement savings plans.
• Paid Time Off: Including vacations, holidays, sick leaves, and parental leave.

The availability of specific benefits may vary based on the individual’s role and employment status.

Company Culture and Values

Raymond James promotes a people-first culture, focusing on five guiding behaviors: Develop, Collaborate, Decide, Deliver, Improve. The firm prides itself on core values showcasing a client-first approach, integrity, independence, and a long-term mindset. Associates are encouraged to:

• Grow professionally while inspiring others.
• Collaborate effectively with others to achieve set goals.
• Make timely decisions while considering clients’ needs.
• Take ownership and responsibility for outcomes.
• Contribute to the firm’s continuous evolution.

Furthermore, Raymond James is an equal opportunity employer, ensuring all employment decisions are made based on merit and business needs. The company values diversity and inclusion, encouraging associates to bring their authentic selves to work for a thriving community.

Work Environment and Flexibility

The work style for this position is designated as remote, providing flexibility for potential candidates. The position may require up to 50% travel for onsite examinations at various branch locations; hence adaptability is important.

Conclusion

The Senior Advisor, Compliance PCG Branch Exams role at Raymond James is an excellent opportunity for professionals experienced in compliance and regulatory practices. With a competitive salary, comprehensive benefits, and a supportive work culture, candidates seeking to advance their careers in the finance sector will find this position a fitting challenge. The blend of remote work and travel ensures engagement with various locations and clients, offering a dynamic work experience.

This job offer was originally published on himalayas.app