Senior Advisor, Compliance PCG Branch Exams (Remote Nationwide)

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.

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; ensuring prescribed sample methodologies are used and resulting sample sizes provide an adequate reflection of the activity being tested; using professional judgement to ask the next question as potential risk areas are identified; applying 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; providing reporting of exam findings and completing any related follow up in a timely manner; ensuring risks and adverse trends are identified and escalated; providing compliance support to business partners; maintaining regular interaction with Compliance and Supervision partners; completing special and ad hoc reviews and projects; providing 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; or any equivalent combination of experience, education, and/or training approved by Human Resources; appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe; Series 7, 24 or willing to obtain within 120 days of employment (Series 9 and 10 can be used instead of the 24); 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; clear, concise, cross-functional communications; building strong relationships; establishing credibility; delivering difficult messages; proactive identification of emerging risk areas; problem-solving in a complex environment; effective navigation of the organization; demonstrated proficiency in Microsoft Word and Excel; ability to work under pressure on multiple tasks concurrently; manage time exceptionally well; shift focus; handle disagreements; identify and anticipate compliance risks; work independently and collaboratively

Nice to have

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

Benefits

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