Sr. Advisor, Compliance PCG Branch Exams

Job description

Job Description Essential Duties and Responsibilities 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 Knowledge, Skills, and Abilities: Advanced knowledge of: C...