Senior Advisor, Compliance PCG Branch Exams

Job Description SummaryUnder administrative direction, uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage offices throughout the U.S. Exams include reviews of various supervisory systems, setting and circumstances of the physical location, onsite files, related documentation, and employee interviews to ensure adherence with firm policies, procedures, and guidance, as well as federal and state rules and regulations. Examiner is responsible for detailed documentation of all testing activities, as well as communication of the testing results to the branches.Job DescriptionEssential Duties and ResponsibilitiesExecution of the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the countryDetailed documentation of testing in branch exam system and related work papersEnsure prescribed sample methodologies are used and resulting sample sizes provide an adequate reflection of the activity being testedUse professional judgement to know when to “ask the next question” as potential risk areas are identifiedApply the appropriate risk weight to a given testing activity and/or finding levelClear communication of all exam findings to branch management, exam managers and compliance leadershipProvide reporting of exam findings and complete any related follow up in a timely mannerEnsure risks and adverse trends are identified and escalatedProvide compliance support to business partners, as neededMaintain regular interaction with Compliance and Supervision partnersComplete special and ad hoc reviews and projects, as identified, in a quality and timely mannerProvide guidance and mentoring to less-experienced peer group membersKnowledge, Skills, and AbilitiesAdvanced knowledge of:Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch examsRules and regulations of the SEC, FINRA, and state securities regulatory agenciesFundamental investment concepts, practices, and procedures used in the securities industryFinancial markets and productsSkill in:Thorough and balanced documentation of work productClear, concise, cross-functional communications, both written and oralIdentification of opportunities for the development, enhanced consistency, and ongoing maintenance of the branch exam programBuilding strong relationships based on mutual respect, trust, and understandingEstablishing credibility with others, presenting oneself with confidence, and holding one’s ground when faced with pushbackDelivering difficult messages with sensitivity, tact, and diplomacyProactive identification of emerging risk areas and/or adverse trends and escalations of same to exam management for suggestions on mitigationProblem-solving in a complex environmentEffectively navigating the organization to obtain information and achieve objectivesDemonstrated proficiency in Microsoft Word and ExcelAbility to:Work under pressure on multiple tasks concurrently in a fast-paced work environmentManage time exceptionally well and remain highly organizedGain a thorough understanding and application of PCG policies and proceduresShift focus from one activity to another without impacting the quality of the workConstructively handle disagreements or conflicts to reach a resolutionApply industry experience to proactively identify and anticipate existing and emerging compliance risksWork well independently, but also collaboratively with the teamEducational/Previous Experience Requirements:Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) years of licensed examination experience. ~or~Any equivalent combination of experience, education, and/or training approved by Human Resources.Licenses/Certifications:• Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe. o Required to have a Series 7, 24 or willing to obtain within 120 days of employment o Series 9 and 10 can be used instead of the 24 • Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.EducationWork ExperienceCertificationsSalary Range$80,000.00-$95,000.00TravelUp to 50%WorkstyleRemoteThe total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details o