Sr. Advisor, Compliance PCG Branch Exams
Raymond James
About this role
A Branch Examiner in the Private Client Group who conducts risk‑based onsite examinations of retail brokerage branch offices across the U.S. The role focuses on assessing adherence to firm policies and federal/state securities regulations, documenting testing activities, and communicating findings to branch management and compliance leadership.
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
More jobs at Raymond James
Similar Jobs
Branch Office Examiner, Compliance
Corebridge
Regional Compliance Analyst - Key Investment Services (KIS)
KeyBank
Orthopedic Surgeons Needed: Veteran Disability Examiner
Dane Street, LLC
Branch Office Examiner
Osaic
Digital Forensic Examiner Forest Park Georgia United States Of America
CACI
Branch Office Examiner
Osaic