Senior Advisor – PCG Branch Exams
| Company | Raymond James Financial |
|---|---|
| Location | Florida, USA, New York, NY, USA |
| Salary | $80000 – $95000 |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Senior |
Requirements
- Advanced knowledge of concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams
- Advanced knowledge of rules and regulations of the SEC, FINRA, and state securities regulatory agencies
- Advanced knowledge of fundamental investment concepts, practices, and procedures used in the securities industry
- Advanced knowledge of financial markets and products
- Skill in thorough and balanced documentation of work product
- Skill in clear, concise, cross-functional communications, both written and oral
- Skill in identification of opportunities for the development, enhanced consistency, and ongoing maintenance of the branch exam program
- Skill in building strong relationships based on mutual respect, trust, and understanding
- Skill in establishing credibility with others, presenting oneself with confidence, and holding one’s ground when faced with pushback
- Skill in delivering difficult messages with sensitivity, tact, and diplomacy
- Skill in proactive identification of emerging risk areas and/or adverse trends and escalations of same to exam management for suggestions on mitigation
- Skill in problem-solving in a complex environment
- Skill in 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
- Ability to manage time exceptionally well and remain highly organized
- Ability to gain a thorough understanding and application of PCG policies and procedures
- Ability to shift focus from one activity to another without impacting the quality of the work
- Ability to constructively handle disagreements or conflicts to reach a resolution
- Ability to apply industry experience to proactively identify and anticipate existing and emerging compliance risks
- Ability to 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
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
Preferred Qualifications
- Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred