Advisor, Compliance – PCG Branch Exams
Raymond James
full-time
Posted on:
Location Type: Remote
Location: New York • United States
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Salary
💰 $65,000 - $80,000 per year
About the role
- conduct remote and onsite branch examinations of retail brokerage offices throughout the U.S.
- execute the risk-based branch exam program
- ensure prescribed sample methodologies are used
- communicate all exam findings to branch management and exam managers
- provide compliance guidance to business partners
Requirements
- Bachelor’s degree (B.A. /B.S.)
- minimum of two (2) years of experience in Compliance and/or the financial services industry
- equivalent combination of experience, education, and/or training approved by Human Resources
- FINRA Series 7 expected and 9/10 or 24 to be obtained within prescribed time frame
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
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Soft Skills
communicationcompliance guidance
Certifications
FINRA Series 7FINRA Series 9FINRA Series 10FINRA Series 24