Senior Advisor, Compliance PCG Branch Exams

Raymond James

Senior Advisor conducting compliance branch examinations at Raymond James. Ensuring adherence with firm policies and regulatory requirements through detailed inspections and documentation.

Posted 7/22/2026full-timeRemote • New York • 🇺🇸 United StatesSenior💰 $75,000 - $95,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in executing risk-based branch examinations and effectively communicating findings to management. Proficient in documentation, reporting, and mentoring within a compliance-focused environment.

Highest-signal resume keywords

Risk-Based Branch ExaminationSeries 7 LicenseSeries 24 LicenseCompliance CommunicationMentoring and Guidance

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Risk Area IdentificationDocumentation of TestingSample MethodologiesReporting of Exam FindingsAd Hoc Reviews

Soft Skills

Professional JudgementCommunication SkillsInterpersonal Skills

Tools & Technologies

Branch Exam System

Certifications & Qualifications

Bachelor’s DegreeSeries 7 LicenseSeries 24 LicenseSeries 9 LicenseSeries 10 License

Industry Keywords

FINRAPrivate Client GroupComplianceSupervisionExamination Experience

About the role

Key responsibilities & impact

Execute risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches
Detail documentation of testing in branch exam system and related work papers
Ensure prescribed sample methodologies are used
Use professional judgement for risk area identification
Communicate exam findings to branch management and compliance leadership
Provide reporting of exam findings and follow up in a timely manner
Ensure risks and adverse trends are identified and escalated
Maintain regular interaction with Compliance and Supervision partners
Complete special and ad hoc reviews and projects as identified
Provide guidance and mentoring to less-experienced members

Requirements

What you’ll need

Bachelor’s degree (B.A. /B.S.)
Minimum of three (3) years of licensed examination experience
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

Benefits

Comp & perks

Medical, dental, and vision insurance
Life insurance
Critical illness insurance and accident insurance
Disability benefits
Retirement savings
Paid time off (including vacation, holidays, and sick leave)
Parental leave