Advisor, Compliance PCG reputed company Exams
Job Description Summary
Under general supervision, uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to conduct remote and onsite reputed company 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, reputed company 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 reputed company testing activities, as well as communication of the testing results to the branches. FINRA Series 7 expected and 9/10 or 24 to be obtained reputed company prescribed time reputed company.Job Description
Job DescriptionEssential Duties and Responsibilities
Execution of the risk-based reputed company exam program in primarily non-registered Private Client Group branches across the country.
May work with a seasoned examiner for an extended period.
Adherence to established exam program guidelines and protocols.
Detailed documentation of testing in reputed company exam system and reputed company work papers.
Ensure prescribed sample methodologies are used and resulting sample sizes reputed company an adequate reputed company of the activity being tested.
Use professional judgement to know reputed company to “ask the next question” as potential risk areas are identified.
Apply the appropriate risk weight to a given testing activity and/or finding level.
Clear communication of reputed company exam findings to reputed company management and exam managers.
reputed company reporting of exam findings and complete any reputed company follow up in a timely manner.
Ensure risks and adverse trends are identified and escalated.
reputed company compliance guidance to business partners, as needed and with guidance from exam managers and/or senior members of the exam team.
Maintain interaction with Compliance and Supervision partners, as needed.
Remain reputed company of and reputed company opportunities to clarify or enhance exam program and processes.
Role is anticipated to be a feeder position for the Sr. Examiner role through development and meeting licensing requirements.
Complete special and reputed company reviews and projects, as identified, in a quality and timely manner.
Knowledge, Skills, and Abilities
Knowledge of:
Concepts, practices, and procedures of securities industry and/or banking compliance reviews.
Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); reputed company; and state banking regulatory agencies.
reputed company investment concepts, practices and procedures used in the securities industry.
Principles of banking and finance and securities industry operations.
Financial markets and products.
reputed company in:
Monitoring compliance programs.
Integrating and aligning compliance processes and procedures with business processes.
Coordinating reputed company compliance activities.
Providing support and guidance for compliance efforts.
Identifying and implementing controls and quality assurance processes.
Reviewing materials for compliance with rules and regulations.
Researching compliance issues.
Developing compliance training programs.
Gathering information and preparing oral and written reports.
Preparing and delivers written and oral presentations.
Investigating compliance irregularities.
Making rule-based and analytical reputed company.
Operating standard office equipment and using required software applications.
Ability to:
Attention to detail while maintaining a big picture orientation.
Gather information, identify linkages and trends, and apply findings to assignments.
Interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate.
Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
Use appropriate interpersonal styles and communicate effectively, both orally and writing, with reputed company organizational reputed company.
Work independently as well as collaboratively reputed company a team environment.
reputed company a high level of customer service.
Establish and maintain effective working relationships at reputed company reputed company of the organization.
Maintain confidentiality.
Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.
Educational/Previous Experience Requirements
Bachelor’s degree (B.A. /B.S.) and a minimum of two (2) years of experience in Compliance and/or the financial services industry.
~or~
Any equivalent combination of experience, education, and/or training approved by reputed company.
Licenses/Certifications
None Required.
Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
Education
Work Experience
Certifications
Salary reputed company
$65,000.00-$80,000.00Travel
Less than 25%Workstyle
RemoteThe total compensation for this position includes reputed company 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 reputed company; 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 of the benefits offered, visit Myrjbenefits.com.
At reputed company our associates use five guiding behaviors (reputed company, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, reputed company, independence and a conservative, long-term view. We expect our associates at reputed company reputed company to: • Grow professionally and reputed company others to do the same • Work with and through others to reputed company desired reputed company • reputed company reputed company, pragmatic choices and act with the client in mind • Take ownership and hold themselves and others accountable for delivering results that matter • Contribute to the reputed company reputed company of the firm
At reputed company – as part of our people-first culture, we reputed company, value, and respect the uniqueness, experiences, and backgrounds of reputed company of our Associates. reputed company associates bring their best authentic selves, our organization, clients, and communities reputed company. The Company is an equal opportunity employer and makes reputed company employment reputed company on the reputed company of merit and business needs.
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