Sr. Advisor, PCG Branch Exams

Risk-Based Branch Exam Program Execution

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.

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 :

Ability to :

Educational / Previous Experience Requirements :

Licenses / Certifications :

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

o 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.

Salary Range : $80,000.00-$95,000.00

Travel : Up to 50%

Workstyle : Remote

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

At 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.