Senior Advisor, PCG Branch Exams

Job Description Summary

Under administrative direction, uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite
* branch examinations of retail brokerage offices throughout the U.S. Exams include reviews of various supervisory systems, setting and circumstances of the physical location, onsite files, related documentation, and employee interviews to ensure adherence with firm policies, procedures, and guidance, as well as federal and state rules and regulations. Examiner is responsible for detailed documentation of all testing activities, as well as communication of the testing results to the branches.

• 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