Sr. Advisor, Compliance PCG Branch Exams
Raymond James & Associates, Inc., Research Division(2 months ago)
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.
Required Skills
- Branch Exams
- Risk Assessment
- Documentation
- Regulatory Knowledge
- Compliance
- Communication
- Excel
- Time Management
- Problem Solving
- Mentoring
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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