Senior Advisor, Compliance PCG Branch Exams
Raymond James
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.
Skills
Qualifications
About Raymond James
rjcapitalmarkets.comN/A
Recent company news
About Raymond James
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Leadership Team
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
Unlock Company Insights
View leadership team, funding history,
and employee contacts for Raymond James.
Salary
$80k – $95k
per year
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