Senior Advisor, PCG Branch Exams

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

📋 Description

• Implement the risk-focused branch examination program within FINRA-registered and non-registered Private Client Group branches nationwide.

• Perform onsite branch examinations of retail brokerage offices, which includes assessing supervisory systems, physical locations, onsite files, documentation, and conducting employee interviews.

• Record testing activities in the branch examination system and associated work papers.

• Utilize defined sampling methodologies and appropriate risk weights in testing activities and findings.

• Relay examination results to branch management, exam managers, and compliance leadership.

• Report findings and carry out follow-up activities promptly.

• Recognize and escalate risks and negative trends.

• Offer compliance assistance to business partners.

• Maintain consistent communication with Compliance and Supervision partners.

• Execute special and ad hoc reviews and projects.

• Mentor and guide less-experienced colleagues.

⛳️ Requirements

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

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

• Series 7, 24, or willingness to obtain within 120 days of employment; Series 9 and 10 may be accepted in place of Series 24.

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

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

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

• Strong and balanced documentation skills.

• Clear and concise written and oral communication skills across functions.

• Proficient in Microsoft Word and Excel.

• Capacity to work effectively under pressure on multiple concurrent tasks in a fast-paced environment.

• Exceptional time management skills and the ability to stay highly organized.

• Ability to comprehend and apply PCG policies and procedures.

• Capable of working independently and collaboratively.

• Willingness to travel up to 50%.

🏝️ Benefits

• Medical, dental, and vision insurance.

• Life insurance.

• Critical illness insurance.

• Accident insurance.

• Disability benefits.

• Retirement savings.

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

• Parental leave.

• Opportunities for professional development.

• Engaging networking groups.

• Support for diversity and inclusion.