Raymond James Financial, Inc

Sr. Advisor, Compliance PCG Branch Exams

Raymond James Financial, Inc$75K — $95K *
US-AnywhereRemote in New York, NY
Finance & Insurance
Less than 5 years of experience
Job Overview by Ladders

Qualifications

  • Bachelor's degree with at least 3 years of licensed examination experience.
  • Series 7, 24 license or willing to obtain within 120 days of employment.
  • Strong understanding of SEC, FINRA, and state regulatory rules.
  • Proficiency in Microsoft Word and Excel.
  • Demonstrated ability to work under pressure and manage multiple tasks.

Responsibilities

  • Execute risk-based branch exam programs across Private Client Group branches.
  • Document testing and findings in branch exam systems.
  • Identify and escalate potential risk areas during examinations.
  • Communicate exam findings effectively to branch and compliance teams.
  • Provide timely reporting of findings and ensure follow-up actions.
  • Support compliance efforts for business partners as needed.
  • Mentor and provide guidance to junior staff.

Benefits

  • Medical, dental, and vision insurance.
  • Life insurance and critical illness coverage.
  • Retirement savings plan including employer contributions.
  • Paid time off for vacation, holidays, and sick leave.
  • Parental leave and disability benefits.
Full Job Description
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-$95,000.00

Travel
Up to 50%

Workstyle
Remote

The 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

About Raymond James Financial, Inc

The Raymond James Technology and Communications Investment Banking Group is a committed and thoughtful partner that provides a full range of investment banking services and best practices. The group is comprised of experienced professionals that have extensive investment banking expertise. They leverage the industry expertise of Raymond James' award-winning research department. The group focuses on key sectors within technology and communications including: communications software, communication towers, defense electronics, enterprise software, internet infrastructure services, homeland security, IT services, mobile technology, semiconductors, software-as-a-service, telecommunications equipment, telecommunications infrastructure and support services, and wireless & wireline telecommunications services. They take pride in a client-centric approach to M&A, with focus on delivering independent solutions that creates value for the long term. The outcome of this unique approach may be seen in the successful transactions of their clients, including over 80 public offerings totaling $17 billion and over 85 strategic advisory transactions totaling over $5 billion in value since 1998.

Raymond James Financial, Inc Careers

Join the vibrant team at Raymond James Financial, Inc, a leading financial services company where innovation, leadership, and professional growth are at the forefront of our operations. As a hub of diversity and expertise, Raymond James offers unparalleled job opportunities that propel your career to new heights. Work You’ll Do At Raymond James Financial, Inc, you’ll collaborate with some of the most talented professionals in the financial industry. Our team is dedicated to providing strategic financial solutions and advice to our clients, helping them achieve their financial goals while fostering economic growth. With a culture rooted in leadership and diversity training, Raymond James is the perfect place to enhance your skills and thrive professionally. Join our market-leading team to assist a diverse range of clients, from individuals to large corporations, in navigating their financial planning with precision and innovative strategies. Lead in a role where your expertise directly influences the success and stability of our clients' financial futures. Work with a dynamic team of advisors and experts who are committed to pushing the boundaries of the financial sector through continuous innovation and exceptional client service. Raymond James Financial, Inc Job Opportunities Introducing the Raymond James Career Development Program We are committed to nurturing talent through our comprehensive career development program designed to provide every employee—from interns to senior leaders—with the tools and training necessary for success. Whether you’re just starting out with an internship or you’re a seasoned professional, Raymond James offers career paths that align with your ambitions and skills. Do Innovative Work Join a company where innovation is part of the daily routine. At Raymond James Financial, Inc, you’ll engage with cutting-edge financial tools and resources that keep you ahead in the industry. Our commitment to technology and innovation ensures that we stay at the forefront of financial services. Be Part of a Great Team Experience a collaborative environment where teamwork and networking are encouraged. Our inclusive culture supports diversity and offers benefits that ensure the well-being of all team members. At Raymond James, you’re not just an employee; you’re part of a family that values your unique contributions and supports your professional journey. Future-Proof Your Career Advance your career with Raymond James, where opportunities for growth are abundant. Benefit from our industry-leading training programs and gain certifications that will elevate your professional standing. With a focus on career longevity and satisfaction, Raymond James ensures that your professional journey is as rewarding as it is successful. Explore Discover the various positions available at Raymond James Financial, Inc that match your skills and interests. We are continuously hiring across multiple disciplines, eager to welcome passionate, curious, and solution-driven team players. Stay Connected Join Our Team Search open positions at Raymond James Financial, Inc and find the perfect match for your career aspirations. Explore a range of opportunities from financial advising to corporate roles that align with your professional skills and goals. Keep Up to Date Stay informed with the latest career tips, insider perspectives, and industry-leading insights—all from the professionals who thrive at Raymond James. Job Alert Emails Customize your subscription to receive job alerts, latest news, and insider tips tailored to your preferences. Discover the exciting and rewarding career opportunities waiting for you at Raymond James Financial, Inc. Join Raymond James Financial, Inc today and be part of a company that values innovation, leadership, and professional growth. Your future in the financial industry starts here.
Learn more about Raymond James Financial, Inc
Size
15,000 employees
Market Cap
$22.6 billion
Industry
Net Income
$862 million
5 Year Trend
+11.6%
Revenue
$8.3 billion
NASDAQ

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