Senior Compliance Branch Exams Advisor - Remote

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

Job summary

Raymond James, Inc. seeks an experienced examiner to conduct onsite branch examinations of retail brokerage offices across the U.S. The role involves documenting testing, applying risk-based sampling, and communicating findings to branch management and compliance leadership.

The position requires a Bachelor’s degree and at least three years in licensed examinations, with Series 7/24 (or 9/10) licenses or ability to obtain within 120 days. Travel up to 50% and remote work options are available.

Qualifications

• Bachelor’s degree and a minimum of three (3) years of licensed examination experience.
• Knowledge of SEC, FINRA, and state securities regulatory frameworks.
• Ability to document testing and communicate findings clearly.

Responsibilities

• Execute risk-based branch examinations of FINRA-registered and Private Client Group branches across the country.
• Document testing thoroughly in the branch exam system and related papers.
• Escalate risks and communicate findings to management and compliance heads.
• Provide compliance support to business partners and maintain ongoing stakeholder relationships.
• Mentor less-experienced peers and contribute to program enhancements.

Skills

Securities industry knowledge

Regulatory compliance

Branch exams

Documentation

Microsoft Word

Microsoft Excel

Communication skills

Risk assessment

Education

Bachelor’s degree

Tools

Branch exam system

Job description

Raymond James, Inc. seeks an experienced examiner to conduct onsite branch examinations of retail brokerage offices across the U.S. The role involves documenting testing, applying risk-based sampling, and communicating findings to branch management and compliance leadership.

The position requires a Bachelor’s degree and at least three years in licensed examinations, with Series 7/24 (or 9/10) licenses or ability to obtain within 120 days. Travel up to 50% and remote work options are available.