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; 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; 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; Knowledge of SEC, FINRA, and state securities rules and regulations; Fundamental investment concepts, practices, and procedures used in the securities industry; 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 with sensitivity, tact, and diplomacy; Proactive identification of emerging risk areas and/or adverse trends; Problem-solving in a complex environment; Proficiency in Microsoft Word and Excel; Ability to work under pressure on multiple tasks concurrently; Ability to manage time exceptionally well; Ability to gain understanding and application of PCG policies and procedures; Ability to shift focus from one activity to another; Ability to constructively handle disagreements or conflicts; Ability to apply industry experience to proactively identify compliance risks; Ability to 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; Vision; Life insurance; Critical illness insurance; Accident insurance; Disability benefits; Retirement savings; Paid time off (vacation, holidays, and sick leave); Parental leave; Additional compensation (cash or equity); Discretionary bonuses; Commissions