Senior Advisor, PCG Branch Exams

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

📋 Description

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

• Implement the risk-based examination program for both FINRA-registered and non-registered branches within the Private Client Group.

• Ensure that established methodologies are applied and that the resulting sample sizes accurately represent the activities being assessed.

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

• Maintain consistent communication with Compliance and Supervision partners.

• Carry out special projects and ad hoc reviews as necessary.

⛳️ Requirements

• A Bachelor’s degree (B.A. / B.S.) is required.

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

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

• Series 9 and 10 may be accepted as substitutes for the Series 24 license.

🏝️ Benefits

• Medical, dental, and vision insurance.

• Life insurance.

• Critical illness and accident insurance.

• Disability benefits.

• Retirement savings plan.

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

• Parental leave.