Sr. Advisor, Compliance, Branch Examination (Position Maybe Virtual)

Job Summary:
Under administrative direction, uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage offices throughout the U.S. Exams include reviews of various supervisory systems, setting and circumstances of the physical location, onsite files, related documentation, and employee interviews to ensure adherence with firm policies, procedures, and guidance, as well as federal and state rules and regulations. Examiner is responsible for detailed documentation of all testing activities, as well as communication of the testing results to the branches.
Essential Duties and Responsibilities:

• Apply the appropriate risk weight to a given testing activity and/or finding level
• Detailed documentation of testing in branch exam system and related work papers
• Clear communication of all exam findings to branch management, exam managers and compliance leadership
• Maintain regular interaction with Compliance and Supervision partners
• Complete special and ad hoc reviews and projects, as identified, in a quality and timely manner
• Execution of the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country
• Use professional judgement to know when to “ask the next question” as potential risk areas are identified
• Provide reporting of exam findings and complete any related follow up in a timely manner
• Ensure risks and adverse trends are identified and escalated
• Ensure prescribed sample methodologies are used and resulting sample sizes provide an adequate reflection of the activity being tested
• Provide compliance support to business partners, as needed
• Provide guidance and mentoring to less-experienced peer group members

Qualifications:
Knowledge, Skills, and Abilities:
Advanced knowledge of:

• Financial markets and products
• Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams
• Fundamental investment concepts, practices, and procedures used in the securities industry
• Rules and regulations of the SEC, FINRA, and state securities regulatory agencies

Skill in:

• Thorough and balanced documentation of work product
• Establishing credibility with others, presenting oneself with confidence, and holding one’s ground when faced with pushback
• Delivering difficult messages with sensitivity, tact, and diplomacy
• Building strong relationships based on mutual respect, trust, and understanding
• Problem-solving in a complex environment
• Demonstrated proficiency in Microsoft Word and Excel
• Clear, concise, cross-functional communications, both written and oral
• Proactive identification of emerging risk areas and/or adverse trends and escalations of same to exam management for suggestions on mitigation
• Effectively navigating the organization to obtain information and achieve objectives
• Identification of opportunities for the development, enhanced consistency, and ongoing maintenance of the branch exam program

Ability to:

• Constructively handle disagreements or conflicts to reach a resolution
• Work well independently, but also collaboratively with the team
• Work under pressure on multiple tasks concurrently in a fast-paced work environment
• Gain a thorough understanding and application of PCG policies and procedures
• Manage time exceptionally well and remain highly organized
• Shift focus from one activity to another without impacting the quality of the work
• Apply industry experience to proactively identify and anticipate existing and emerging compliance risks

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) years of licensed examination experience.

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications:

• Series 9/10 strongly preferred or ability to obtain within a designated time frame.
• Series 7 and Series 24 Required
• SIE required provided that an exemption or grandfathering cannot be applied.

Annual Base Salary:
$80,000 to $95,000

• Position requires high amount of travel within continental United States.

Knowledge, Skills, and Abilities:
Advanced knowledge of:

• Fundamental investment concepts, practices, and procedures used in the securities industry
• Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams
• Rules and regulations of the SEC, FINRA, and state securities regulatory agencies
• Financial markets and products

Skill in:

• Identification of opportunities for the development, enhanced consistency, and ongoing maintenance of the branch exam program
• Building strong relationships based on mutual respect, trust, and understanding
• Delivering difficult messages with sensitivity, tact, and diplomacy
• Proactive identification of emerging risk areas and/or adverse trends and escalations of same to exam management for suggestions on mitigation
• Thorough and balanced documentation of work product
• Clear, concise, cross-functional communications, both written and oral
• Effectively navigating the organization to obtain information and achieve objectives
• Establishing credibility with others, presenting oneself with confidence, and holding one’s ground when faced with pushback
• Demonstrated proficiency in Microsoft Word and Excel
• Problem-solving in a complex environment

Ability to:

• Work under pressure on multiple tasks concurrently in a fast-paced work environment
• Constructively handle disagreements or conflicts to reach a resolution
• Work well independently, but also collaboratively with the team
• Gain a thorough understanding and application of PCG policies and procedures
• Shift focus from one activity to another without impacting the quality of the work
• Apply industry experience to proactively identify and anticipate existing and emerging compliance risks
• Manage time exceptionally well and remain highly organized

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) years of licensed examination experience.

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications:

• Series 9/10 strongly preferred or ability to obtain within a designated time frame.
• Series 7 and Series 24 Required
• SIE required provided that an exemption or grandfathering cannot be applied.

Annual Base Salary:
$80,000 to $95,000

• Position requires high amount of travel within continental United States.

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
We expect our associates at all levels to:

• Contribute to the continuous evolution of the firm
• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Take ownership and hold themselves and others accountable for delivering results that matter
• Make prompt, pragmatic choices and act with the client in mind

At Raymond James – we honor, value, respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic self, our organization, clients and communities thrive, it is part of our part of our people-first culture. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
Job :
Compliance
Primary Location :
US-FL-St. Petersburg-Saint Petersburg
Organization :
RJF Corporate
Schedule :
Full-time
Shift :
Day Job
Travel :
Yes, 50 % of the Time
Salary Range: CO, NY, CA, WA (based on Education, Work Experience, and Geographic Location)
$80,000 - $95,000
Eligible for Discretionary Bonus :
Yes