Senior Advisor, Compliance PCG Branch Exams

• Execute risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches
• Detail documentation of testing in branch exam system and related work papers
• Ensure prescribed sample methodologies are used
• Use professional judgement for risk area identification
• Communicate exam findings to branch management and compliance leadership
• Provide reporting of exam findings and follow up in a timely manner
• Ensure risks and adverse trends are identified and escalated
• Maintain regular interaction with Compliance and Supervision partners
• Complete special and ad hoc reviews and projects as identified
• Provide guidance and mentoring to less-experienced 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 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

Core Competencies

Demonstrates expertise in executing risk-based branch examinations and effectively communicating findings to management. Proficient in documentation, reporting, and mentoring within a compliance-focused environment.

Highest-signal resume keywords

• Risk-Based Branch Examination
• Series 7 License
• Series 24 License
• Compliance Communication
• Mentoring and Guidance

ATS Optimization Keywords

Hard Skills

• Risk Area Identification
• Documentation of Testing
• Sample Methodologies
• Reporting of Exam FindingsAd Hoc Reviews

Soft Skills

• Professional Judgement
• Communication Skills
• Interpersonal Skills

Certifications & Qualifications

• Bachelor’s Degree
• Series 7 License
• Series 24 License
• Series 9 License
• Series 10 License

Industry Keywords

• FINRA
• Private Client Group
• Compliance
• Supervision
• Examination Experience

Tools & Technologies

• Branch Exam System