Senior Advisor, Compliance PCG Branch Exams - Remote

Overview

The Senior Advisor for Compliance PCG Branch Exams is responsible for executing the risk-based branch exam program within the Private Client Group, ensuring compliance with industry regulations and standards.

In Short

• Execution of risk-based branch exam program across the country.
• Documentation of testing in branch exam system.
• Clear communication of exam findings to management.
• Provide compliance support to business partners.
• Conduct special reviews and projects as needed.
• Mentor less-experienced team members.
• Identify and escalate risks and adverse trends.
• Proficient in Microsoft Word and Excel.
• Work under pressure on multiple tasks.
• Maintain organization in a fast-paced environment.

Requirements

• Bachelor’s degree and three years of licensed examination experience.
• Required to have a Series 7, 24 license or willing to obtain.
• Knowledge of securities industry and compliance regulations.
• Strong communication skills, both written and oral.
• Ability to handle conflicts constructively.
• Proactive identification of compliance risks.
• Demonstrated problem-solving skills.
• Ability to work independently and collaboratively.

Benefits

• Medical, dental, and vision insurance.
• Life and disability insurance.
• Retirement savings plan.
• Paid time off including holidays and sick leave.
• Parental leave.
• Professional development opportunities.
• Diversity and inclusion initiatives.
• Supportive work environment.