Senior Advisor, Compliance PCG Branch Exams (Remote Nationwide)
$75,000–$95,000 year
RemoteUnited States
Job Summary
Conduct onsite branch examinations of retail brokerage offices across the U.S., reviewing supervisory systems, onsite files, and employee interviews to ensure adherence to firm policies, SEC, FINRA, and state regulations. Execute risk-based exam programs by applying professional judgment to identify potential risk areas, assigning appropriate risk weights, and documenting all testing activities and findings in the branch exam system. Communicate exam results to branch management and compliance leadership, escalate identified risks and adverse trends, and provide guidance and mentoring to less-experienced peers. Complete special and ad hoc reviews while maintaining regular interaction with Compliance and Supervision partners. Work remotely with up to 50% travel required, reporting to a team focused on securities industry compliance.
Required Qualifications
- Bachelor's degree (B.A. /B.S.)
- Minimum of three (3) years of licensed examination experience
- 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
Desired Qualifications
- Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts
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