Senior Advisor, Compliance PCG Branch Exams; Remote Nationwide

** 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:
*** 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
** Educational/Previous Experience Requirements**:
* Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) years of licensed examination experience.
~or~
* Any equivalent combination of experience, education, and/or training approved by Human Resources.
*
* Licenses/Certifications:

*
* • Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe.
o Required to have a Series 7, 24 or willing to obtain within 120 days of employment     o Series 9 and 10 can be used instead of the 24  
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
** Education
* *** Work Experience
**** Certifications
* *** Salary…