Senior Advisor, Compliance – PCG Branch Exams

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

📋 Description

• Implement the risk-based branch examination framework in both FINRA-registered and non-registered Private Client Group branches nationwide.

• Perform onsite evaluations of retail brokerage locations across the United States.

• Assess supervisory systems, physical location conditions, onsite documentation, and conduct employee interviews.

• Record testing procedures in the branch examination system along with associated work papers.

• Utilize specified sampling methodologies and suitable risk weights during testing activities and assessments.

• Convey examination results to branch management, examination supervisors, and compliance leaders.

• Report on examination outcomes and ensure timely completion of any related follow-ups.

• Recognize and escalate risks and negative trends.

• Offer compliance assistance to business partners.

• Maintain ongoing communication with Compliance and Supervision partners.

• Undertake special and ad hoc reviews and projects as needed.

• Provide mentoring and guidance to less experienced members of the peer group.

⛳️ Requirements

• A Bachelor’s degree (B.A./B.S.) and at least three (3) years of licensed examination experience, or a comparable combination of experience, education, and/or training approved by Human Resources.

• Necessary series license(s) for the designated functional area, or the ability to obtain them within a specified timeframe.

• Series 7 and Series 24 licenses, or a commitment to secure Series 24 within 120 days of employment; Series 9 and 10 may be accepted in lieu of Series 24.

• Extensive knowledge of the securities industry, broker/dealer compliance, and/or branch examinations.

• Familiarity with SEC, FINRA, and state securities regulatory rules and regulations.

• Understanding of investment concepts, financial markets, and financial products.

• Detailed and well-organized work-product documentation.

• Effective written and verbal communication across functions.

• Proficient in Microsoft Word and Excel.

• Capability to handle multiple simultaneous tasks in a dynamic environment.

• Exceptional time management skills and organizational abilities.

• Ability to work both independently and as part of a team.

• Willingness to travel up to 50% of the time.

🏝️ Benefits

• Medical, dental, and vision insurance.

• Life insurance.

• Critical illness insurance.

• Accident insurance.

• Disability benefits.

• Retirement savings plans.

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

• Parental leave.

• Opportunities for professional development.

• Access to enriching networking groups.

• Support for diversity and inclusion initiatives.