Remote Senior Branch Exam Specialist

Raymond James Financial, Inc.; New York (NY); On-site; USD 75,000 - 95,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

Life insurance

Disability benefits

Retirement savings

Paid time off

Parental leave

Job summary

Raymond James Financial, Inc. seeks an experienced Examiner to conduct onsite branch examinations of retail brokerage offices across the United States.

You will document findings and communicate testing results to branches, exam managers and compliance leadership. Key duties include executing the risk-based branch exam program, applying consistent methodologies, and providing guidance to less-experienced peers.

Qualifications

• Bachelor’s degree and licensed examination experience or equivalent
• Appropriate series license(s) for assigned area or ability to obtain within timeframe
• Series 7/24 mandatory or willing to obtain within 120 days

Responsibilities

• Execute risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches nationwide
• Document testing in branch exam system and work papers
• Ensure sample methodologies and sizes reflect activity tested
• Communicate findings to branch management, exam managers and compliance leadership
• Provide reporting of exam findings and follow-up actions
• Identify and escalate risks and adverse trends
• Mentor less-experienced peers
• Maintain interaction with Compliance and Supervision partners

Skills

Branch exams

Securities industry

Regulatory compliance

Communication skills

MS Word/Excel

Education

Bachelor’s degree

Series licenses (7/24)

Additional licenses (9/10)

Tools

Microsoft Word

Microsoft Excel

Job description

Raymond James Financial, Inc. seeks an experienced Examiner to conduct onsite branch examinations of retail brokerage offices across the United States.

You will document findings and communicate testing results to branches, exam managers and compliance leadership. Key duties include executing the risk-based branch exam program, applying consistent methodologies, and providing guidance to less-experienced peers.