Senior Advisor, Compliance PCG Branch Exams

• Execution of the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country
• Detailed documentation of testing in branch exam system and related work papers
• Ensure prescribed sample methodologies are used and resulting sample sizes provide an adequate reflection of the activity being tested
• Use professional judgement to know when 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 all exam findings to branch management, exam managers and compliance leadership
• Provide reporting of exam findings and complete any related follow up in a timely manner
• Ensure risks and adverse trends are identified and escalated
• Provide compliance support to business partners, as needed
• Maintain regular interaction with Compliance and Supervision partners
• Complete special and ad hoc reviews and projects, as identified, in a quality and timely manner
• Provide guidance and mentoring to less-experienced peer group members

• Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) years of licensed examination experience
• Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe
• Required to have a Series 7, 24 or willing to obtain within 120 days of employment
• Series 9 and 10 can be used instead of the 24
• Advanced knowledge of: Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams
• Rules and regulations of the SEC, FINRA, and state securities regulatory agencies
• Fundamental investment concepts, practices, and procedures used in the securities industry
• Financial markets and products
• Skill in: Thorough and balanced documentation of work product
• Clear, concise, cross-functional communications, both written and oral
• Identification of opportunities for the development, enhanced consistency, and ongoing maintenance of the branch exam program
• Building strong relationships based on mutual respect, trust, and understanding
• Establishing credibility with others, presenting oneself with confidence, and holding one’s ground when faced with pushback
• Delivering difficult messages with sensitivity, tact, and diplomacy
• Proactive identification of emerging risk areas and/or adverse trends and escalations of same to exam management for suggestions on mitigation
• Problem-solving in a complex environment
• Effectively navigating the organization to obtain information and achieve objectives
• Demonstrated proficiency in Microsoft Word and Excel
• Ability to: Work under pressure on multiple tasks concurrently in a fast-paced work environment
• Manage time exceptionally well and remain highly organized
• Gain a thorough understanding and application of PCG policies and procedures
• Shift focus from one activity to another without impacting the quality of the work
• Constructively handle disagreements or conflicts to reach a resolution
• Apply industry experience to proactively identify and anticipate existing and emerging compliance risks
• Work well independently, but also collaboratively with the team

Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred