Senior Advisor, Compliance PCG Branch Exams
Raymond James & Associates, Inc., Research Division(11 days ago)
About this role
This role involves conducting onsite branch examinations of retail brokerage offices across the U.S., reviewing supervisory systems, documentation, and employee interviews to ensure compliance with regulations and policies. The examiner documents testing activities, communicates findings, and supports compliance efforts, requiring industry knowledge and regulatory expertise.
Required Skills
- Securities Industry
- Compliance
- FINRA
- Regulations
- Risk Assessment
- Documentation
- Microsoft Word
- Microsoft Excel
- Branch Exam
- Financial Markets
Qualifications
- Bachelor's Degree
- Series 7
- Series 24
- 3+ Years of Licensed Examination Experience
About Raymond James & Associates, Inc., Research Division
rjcapitalmarkets.comN/A
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