Senior Advisor, Compliance – PCG Branch Exams

This is a fully remote position, open to applicants in New York.

📋 Description

• Implementation of the risk-oriented branch examination program in both FINRA-registered and non-registered Private Client Group branches nationwide.

• Comprehensive documentation of testing processes within the branch exam system and associated work papers.

• Ensure that the prescribed sampling methodologies are employed and that the resulting sample sizes adequately reflect the activities being assessed.

• Effectively communicate all examination findings to branch management, exam managers, and compliance leadership.

• Provide timely reporting of examination results and ensure any necessary follow-up is completed promptly.

• Identify and escalate risks and negative trends as they arise.

• Offer compliance assistance to business partners as required.

• Maintain consistent interaction with Compliance and Supervision teams.

• Execute special and ad-hoc reviews and projects as identified, ensuring quality and timeliness.

• Mentor and guide less-experienced colleagues within the peer group.

⛳️ Requirements

• Bachelor’s degree (B.A. /B.S.).

• A minimum of three (3) years of experience in licensed examinations.

• Required series license(s) for the designated functional area, or the ability to obtain them within a specified timeframe (Series 7, 24 or willingness to acquire within 120 days of employment).

• Additional licenses or certifications that demonstrate the candidate’s knowledge and expertise in industry regulations and concepts are preferred.

🏝️ Benefits

• Medical, dental, and vision coverage.

• Life insurance.

• Critical illness and accident insurance.

• Disability benefits.

• Retirement savings plan.

• Paid time off including vacation, holidays, and sick leave.

• Parental leave.