Senior Advisor, PCG Branch Exams

Role Description

Under administrative direction, uses knowledge and skills obtained through experience, specialized training and/or certification in the 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.

Qualifications

• Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) years of licensed examination experience.
• Any equivalent combination of experience, education, and/or training approved by Human Resources.
• 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.
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Requirements

• 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.

Benefits

• Salary Range: $75,000.00-$95,000.00
• Travel: Up to 50%
• Workstyle: Remote
• 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)
  • Parental leave
• Eligibility for benefits and specific offerings may vary based on position and employment status.