Senior Advisor, Compliance PCG Branch Exams
Raymond James & Associates, Inc., Research Division(1 month ago)
About this role
Conducts onsite branch examinations of retail brokerage offices across the U.S., using securities industry knowledge to assess adherence to firm policies and regulatory requirements. Responsible for documenting testing activities and communicating findings to branch management and compliance leadership. Works under administrative direction and supports identification and escalation of compliance risks.
Required Skills
- Branch Exams
- Risk Assessment
- Documentation
- Sampling Methodologies
- Regulatory Knowledge
- Communication
- Microsoft Excel
- Microsoft Word
- Mentoring
- Problem Solving
+1 more
Qualifications
- Bachelor's Degree
- Series 7
- Series 24
- Series 9
- Series 10
About Raymond James & Associates, Inc., Research Division
rjcapitalmarkets.comN/A
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