Senior Advisor, Compliance PCG Branch Exams (Remote Nationwide)

Responsibilities

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

Requirements

Bachelor's degree (B.A./B.S.) and a minimum of three (3) years of licensed examination experience; any equivalent combination of experience, education, and/or training approved by Human Resources; advanced knowledge of concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams; advanced knowledge of rules and regulations of the SEC, FINRA, and state securities regulatory agencies; advanced knowledge of fundamental investment concepts, practices, and procedures used in the securities industry; advanced knowledge of financial markets and products; skill in thorough and balanced documentation of work product; skill in clear, concise, cross-functional communications, both written and oral; skill in identification of opportunities for the development, enhanced consistency, and ongoing maintenance of the branch exam program; skill in building strong relationships based on mutual respect, trust, and understanding; skill in establishing credibility with others, presenting oneself with confidence, and holding one's ground when faced with pushback; skill in delivering difficult messages with sensitivity, tact, and diplomacy; skill in proactive identification of emerging risk areas and/or adverse trends and escalations of same to exam management for suggestions on mitigation; skill in problem-solving in a complex environment; skill in effectively navigating the organization to obtain information and achieve objectives; demonstrated proficiency in Microsoft Word and Excel; ability to work under pressure on multiple tasks concurrently in a fast-paced work environment; ability to manage time exceptionally well and remain highly organized; ability to gain a thorough understanding and application of PCG policies and procedures; ability to shift focus from one activity to another without impacting the quality of the work; ability to constructively handle disagreements or conflicts to reach a resolution; ability to apply industry experience to proactively identify and anticipate existing and emerging compliance risks; ability to work well independently, but also collaboratively with the team; appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe; required to have a Series 7, 24 or willing to obtain within 120 days of employment; Series 9 and 10 can be used instead of the 24

Nice to have

Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred

Benefits

medical; dental; vision; life insurance; critical illness insurance; accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); parental leave