Senior Compliance Risk Examiner

Raymond James; EE. UU.; A distancia; USD 75.000 - 95.000; Jornada completa

Descripción de la vacante

Raymond James is seeking a Risk-Based Branch Exam professional to execute nationwide branch examinations, document findings, and ensure sampling reflects activity. This role requires strong communication, documentation, and risk assessment skills.

Ideal candidates hold a bachelor’s degree and multiple securities licenses, with the ability to mentor teammates while reporting to compliance leadership. Remote work is available with travel, and a comprehensive benefits package is included.

Formación

• Bachelor’s degree and minimum of three years of licensed examination experience.
• Series 7 and 24 licenses or able to obtain within 120 days.
• Series 9 and 10 can be used in place of the 24.
• Additional licenses/certifications are preferred.

Responsabilidades

• Execute the risk-based branch exam program across the country.
• Document testing and related work papers in branch exam system.
• Ensure sample methodologies are applied and samples reflect activity.
• Communicate findings clearly to management and compliance leadership.
• Provide timely reporting of exam findings and follow-up.
• Mentor less-experienced peers and support continuous improvement.

Conocimientos

Risk assessment

Documentation

Communication

Problem solving

Mentoring

Cross-functional collaboration

Educación

Bachelor’s degree (B.A./B.S.)

Licensed examination experience (3+ years)

Series 7/24 licensing within 120 days

Descripción del empleo

Raymond James is seeking a Risk-Based Branch Exam professional to execute nationwide branch examinations, document findings, and ensure sampling reflects activity. This role requires strong communication, documentation, and risk assessment skills.

Ideal candidates hold a bachelor’s degree and multiple securities licenses, with the ability to mentor teammates while reporting to compliance leadership. Remote work is available with travel, and a comprehensive benefits package is included.