Sr. Advisor, PCG Branch Exams

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: