Senior Advisor, Compliance – PCG reputed company Exams
Job Description:
- Execution of the risk-based reputed company exam program in FINRA-registered and non-registered Private Client Group branches across the country
- 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
- Clear communication of reputed company exam findings to reputed company management, exam managers and compliance leadership
- 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 support to business partners, as needed
- Maintain regular interaction with Compliance and Supervision partners
- Complete special and reputed company reviews and projects, as identified, in a quality and timely manner
- reputed company guidance and mentoring to less-reputed company peer group members
Requirements:
- Bachelor’s degree (B.A. /B.S.)
- Minimum of three (3) years of licensed examination experience
- Appropriate series license(s) for assigned functional area required or the ability to obtain reputed company an established timeframe (Series 7, 24 or willing to obtain reputed company 120 days of employment)
- Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred
Benefits:
- 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)
- Parental leave
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