Senior Advisor, Compliance PCG Branch Exams
职位简介 在行政指导下,使用经验,专业培训和/或证书获得的知识和技能在美国各地零售经纪办公室进行现场*分支考试。考试包括审查各种监督系统,物理位置设置和情况,现场文件,相关文档以及员工面试以确保遵守公司政策,程序和指南,以及联邦和州规则和法规。考生负责对所有测试活动的详细文件以及向分支机构传达测试结果。工作描述基本职责和责任 · 在全国各地 FINRA 注册及非注册私营客户集团分支机构执行基于风险的分支审查计划 ·在分支检查系统和相关的工作文件中进行测试的详细记录 ·确保使用规定的样本方法,并确保产生的样本尺寸充分反映了正在测试的活动 · 使用专业判断来知道何时问下一个问题随着潜在风险领域的确定 · 对特定测试活动和/或发现水平应对适当的风险权重 · 清楚地向分支管理层,考试经理和合规领导层传达所有考试结果 · 及时报告考试结果并完成相关随访工作 · 确保确定和升级风险和不利趋势 · 如有需要为业务合作伙伴提供合规支持 · 与合规性和监督合作伙伴保持定期互动 · 按标定的质量及时完成特殊和特别审查和项目 · 向未具备经验的同行团队成员提供指导和辅导知识,技能和能力 资产业的概念,实践和程序;经纪人/交易商遵守标准及/或分支机构考试;SEC,FINRA 以及国家证券监管机构的规则和规定;在证券行业中使用的基本投资理念,实践与程序;金融市场和产品的技能:
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Job Description Summary
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.Job Description
Essential Duties and 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
Knowledge, Skills, and Abilities
Advanced knowledge of:
- Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams
- Rules and regulations of the SEC, FINRA, and state securities regulatory agencies
- Fundamental investment concepts, practices, and procedures used in the securities industry
- Financial markets and products
Skill in:
- Thorough and balanced documentation of work product
- Clear, concise, cross-functional communications, both written and oral
- Identification of opportunities for the development, enhanced consistency, and ongoing maintenance of the branch exam program
- Building strong relationships based on mutual respect, trust, and understanding
- Establishing credibility with others, presenting oneself with confidence, and holding one’s ground when faced with pushback
- Delivering difficult messages with sensitivity, tact, and diplomacy
- Proactive identification of emerging risk areas and/or adverse trends and escalations of same to exam management for suggestions on mitigation
- Problem-solving in a complex environment
- Effectively navigating the organization to obtain information and achieve objectives
- Demonstrated proficiency in Microsoft Word and Excel
Ability to:
- Work under pressure on multiple tasks concurrently in a fast-paced work environment
- Manage time exceptionally well and remain highly organized
- Gain a thorough understanding and application of PCG policies and procedures
- Shift focus from one activity to another without impacting the quality of the work
- Constructively handle disagreements or conflicts to reach a resolution
- Apply industry experience to proactively identify and anticipate existing and emerging compliance risks
- Work well independently, but also collaboratively with the team
Educational/Previous Experience 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.
Licenses/Certifications:
• Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe.
o Required to have a Series 7, 24 or willing to obtain within 120 days of employment
o Series 9 and 10 can be used instead of the 24
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
Education
Work Experience
Certifications
Salary Range
$75,000.00-$95,000.00Travel
Up to 50%Workstyle
RemoteThe total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include 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); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.
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. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
Originally posted on Himalayas