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Senior Advisor, Compliance PCG Branch Exams

Raymond James Financial, Inc.

Grand Central, Manhattan$135,847 - $135,847 est.Full-timePosted 11h ago
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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 …
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Who is hiring for Senior Advisor, Compliance PCG Branch Exams at Raymond James Financial, Inc.?+
Raymond James Financial, Inc. is actively hiring for this Senior Advisor, Compliance PCG Branch Exams role. Click "Apply Now" to submit your application directly on Raymond James Financial, Inc.'s careers page — Careeronaut doesn't charge employers or candidates for referrals.
When was this Senior Advisor, Compliance PCG Branch Exams role posted?+
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