Sr. Advisor, Compliance PCG Branch Exams
Raymond James & Associates, Inc., Research Division(2 months ago)
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.
Required Skills
- Branch Exams
- Risk Assessment
- Documentation
- Regulatory Compliance
- Sampling
- Communication
- Excel
- Word
- Mentoring
- Time Management
Qualifications
- Bachelor's Degree (BA/BS)
- Series 7 (or ability to obtain)
- Series 24 (or Series 9/10)
About Raymond James & Associates, Inc., Research Division
rjcapitalmarkets.comN/A
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