Senior Advisor, Compliance PCG Branch Exams
Raymond James & Associates, Inc., Research Division(4 days ago)
About this role
A compliance examiner with expertise in securities regulations conducts onsite branch examinations of retail brokerage offices across the U.S., reviewing supervisory systems, employee interviews, and adherence to policies and regulations. The role involves detailed documentation, communication of findings, and providing compliance support.
Required Skills
- Securities
- Compliance
- Regulations
- FINRA
- Risk Assessment
- Documentation
- Communication
- Microsoft Word
- Microsoft Excel
- Examination
Qualifications
- Bachelors Degree
- Series 7 License
- Series 24 License
- Experience in Examination
About Raymond James & Associates, Inc., Research Division
rjcapitalmarkets.comN/A
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