Job Information
Raymond James Financial, Inc. Sr. Advisor, Compliance, Branch Examination (Remote Option Available) in United States
Description
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:
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 of three (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
Job: Compliance
Primary Location: United States
Organization RJF Corporate
Schedule Full-time
Job Shift Day Job
Travel Yes, 50 % of the Time
Req ID: 2401277
Raymond James Financial, Inc.
- Raymond James Financial, Inc. Jobs