Sr. Advisor, Compliance PCG Branch Exams
Raymond James
About this role
A compliance examiner role focused on branch-level oversight of retail brokerage offices across the U.S., leveraging securities industry knowledge and regulatory frameworks. The position supports the firm’s compliance program by evaluating branch practices and coordinating with compliance leadership and branch management.
Skills
Qualifications
Bachelor's DegreeSeries 7Series 24Series 9Series 10
About Raymond James
rjcapitalmarkets.comN/A
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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
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and employee contacts for Raymond James.
Salary
$80k – $95k
per year