Branch Control Examiner

Branch Control Examiner

About Us:

Raymond James emphasizes five guiding actions Development, Collaboration, Decision-making, Execution, and Enhancement to uphold the organization's core values of client-centered service, integrity, independence, and a forward-thinking perspective. Employees are expected to grow professionally, work together effectively, make decisions that benefit clients, take ownership of their work, and contribute to continuous improvement.

Raymond James' people-centric culture places significance on celebrating and respecting the distinctiveness, varied experiences, and backgrounds of its staff members. The organization functions as an equal opportunity employer, ensuring that employment decisions are grounded in merit and business requisites.

Job Description:

Working under administrative supervision, leverages knowledge and abilities acquired through practical exposure, specialized training, or certification in the securities sector to conduct in-person examinations of retail brokerage branches across the United States. Reviews encompass evaluations of supervisory systems, physical premises, on-site records, documentation, and employee discussions to ensure adherence with company policies, procedures, guidance, and regulatory requirements at both state and federal levels. The Examiner is responsible for comprehensive documentation of testing procedures and reporting findings to branch locations.

Key Responsibilities and Obligations:

• Execute the risk-driven branch review scheme within Private Client Group branches on a national scale, whether they are FINRA-registered or not
• Compile a record of the testing operations carried out on the branch assessment system and its related paperwork
• Follow the suggested sampling approaches and ensure the sample sizes are sufficient
• Employ your judgment to identify and delve into areas that may pose risks
• Implement relevant risk factors to testing tasks and findings
• Convey examination conclusions in a concise manner to branch management, exam managers, and compliance leadership
• Make sure that the results of the examination are reported promptly and that follow-up actions are completed without delay
• Determine and escalate potential threats and adverse tendencies
• Supply necessary compliance aid to business partners when requested
• Sustain regular collaboration with Compliance and Supervision partners
• Efficiently and accurately complete distinct and ad hoc reviews and ventures
• Share knowledge and wisdom with junior colleagues who are navigating their careers

Proficiencies, expertise, and aptitudes:

Advanced Knowledge Of:

• Familiarizing oneself with essential principles in the securities industry, guaranteeing broker/dealer adherence to regulations, and supervising branch examination methodologies
• Compliance with regulatory frameworks from the SEC, FINRA, and state securities entities is imperative for participants in the securities market
• The strategies, routines, and methodologies concerning investment activities
• Financial markets and their associated products involve the exchange of various securities and assets to facilitate capital flow and risk management in the economy

Skill In:

• In-depth and equitable documentation of task deliverables
• Simple and direct expression through words and speech
• Strengthening the uniformity and impact of the branch inspection program
• Cultivating dependable professional relationships grounded in mutual trust and respect
• Developing credibility and addressing professional resistance effectively
• Diplomatically presenting sensitive or difficult messages with tact
• Identifying developing risk territories and raising concerns using the correct escalation processes
• Finding answers in complex situations
• Exploring the organizational structure to retrieve necessary information
• Competence in Microsoft Word and Excel

Ability To:

• Excelling in multitasking under pressure in a professional setting
• Demonstrate superior time management and organizational expertise
• Understand and apply PCG policies and procedures
• Transition smoothly across tasks while upholding quality levels
• Resolve disagreements constructively
• Stay ahead by identifying established and emerging compliance hazards
• Perform individual tasks as well as engage in collaborative efforts within a team

Prerequisites concerning educational qualifications and previous experience:

• Candidates must have a bachelor's degree (B.A./B.S.) and a minimum of three years of practical experience in administering licensed tests
• An approved mix of educational background, training courses, and practical exposure recognized by Human Resources can be acceptable as well

Licenses and Certifications:

• The job necessitates either the possession of Series 7 and Series 24 certifications or the ability to obtain them within a 120-day timeframe from the start of employment
• Series 9 and 10 are substitutable for Series 24
• Additional licensure or certifications relevant to the industry are favored

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