Sr. Advisor, Compliance PCG Branch Exams
Raymond James & Associates, Inc., Research Division
About this role
A Senior compliance examiner within the Private Client Group responsible for executing a risk-based branch exam program across FINRA-registered and non-registered branches to assess regulatory compliance and identify emerging risks. The role supports compliance leadership through reporting, escalation of adverse trends, and collaboration with Compliance and Supervision partners.
Skills
Qualifications
About Raymond James & Associates, Inc., Research Division
rjcapitalmarkets.comN/A
Recent company news
About Raymond James & Associates, Inc., Research Division
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 & Associates, Inc., Research Division.
Salary
$80k – $95k
per year
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