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About the Role

Conduct onsite branch examinations of retail brokerage offices across the U.S. to ensure adherence to firm policies, procedures, and regulatory requirements. This role involves reviewing supervisory systems, physical locations, documentation, and conducting employee interviews.

Responsibilities

• Execute the risk-based branch exam program for FINRA-registered and non-registered Private Client Group branches.
• Document testing activities and work papers within the branch exam system.
• Ensure prescribed sample methodologies are used to adequately reflect the activity being tested.
• Apply professional judgment to identify potential risk areas and ask pertinent questions.
• Assign appropriate risk weights to testing activities and findings.
• Communicate exam findings clearly to branch management, exam managers, and compliance leadership.
• Report exam findings and complete follow-up actions in a timely manner.
• Identify and escalate risks and adverse trends.
• Provide compliance support to business partners as needed.
• Maintain regular interaction with Compliance and Supervision partners.
• Complete special and ad hoc reviews and projects efficiently.
• Provide guidance and mentoring to less-experienced team members.

Requirements

• Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) years of licensed examination experience, or an equivalent combination of experience, education, and/or training.
• Appropriate series license(s) for the assigned functional area, or the ability to obtain within an established timeframe.
• Must have a Series 7, 24 or be willing to obtain within 120 days of employment.
• Series 9 and 10 can be used instead of the 24.

Skills

• Advanced knowledge of securities industry concepts, practices, and procedures.
• Knowledge of broker/dealer compliance and/or branch exams.
• Understanding of SEC, FINRA, and state securities regulatory agency rules and regulations.
• Knowledge of fundamental investment concepts, practices, and procedures.
• Familiarity with financial markets and products.
• Skill in thorough and balanced documentation of work product.
• Clear, concise, cross-functional communication skills, both written and oral.
• Ability to identify opportunities for program development, consistency, and maintenance.
• Ability to build strong relationships based on mutual respect, trust, and understanding.
• Ability to establish credibility, present oneself with confidence, and hold ground when faced with pushback.
• Ability to deliver difficult messages with sensitivity, tact, and diplomacy.
• Proactive identification and escalation of emerging risk areas and adverse trends.
• Problem-solving skills in a complex environment.
• Ability to navigate the organization effectively to obtain information and achieve objectives.
• Proficiency in Microsoft Word and Excel.
• Ability to work under pressure on multiple tasks concurrently in a fast-paced environment.
• Exceptional time management and organizational skills.
• Ability to gain a thorough understanding and application of PCG policies and procedures.
• Ability to shift focus between activities without impacting work quality.
• Ability to constructively handle disagreements or conflicts to reach a resolution.
• Ability to apply industry experience to proactively identify and anticipate compliance risks.
• Ability to work independently and collaboratively with a team.

Location

• U.S.

Work Type

• Remote
• Up to 50% travel

Experience Level

• Minimum of three (3) years of licensed examination experience

Education Level

• Bachelor’s degree (B.A. /B.S.)

Salary/Compensations

• $75,000.00-$95,000.00

Benefits

• Medical
• Dental
• Vision
• Life insurance
• Critical illness insurance
• Accident insurance
• Disability benefits
• Retirement savings
• Paid time off (vacation, holidays, sick leave)
• Parental leave

About the Company

• At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
• We expect our associates at all levels to: Grow professionally and inspire others to do the same, Work with and through others to achieve desired outcomes, Make prompt, pragmatic choices and act with the client in mind, Take ownership and hold themselves and others accountable for delivering results that matter, Contribute to the continuous evolution of the firm.
• At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive.

Equal Opportunity

• The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.