Branch Monitoring Examiner

Job Summary:Branch Monitoring Examiner

Guided by administrative oversight, utilizes knowledge and skills acquired through experience, specialized training, or certification in the securities field to conduct onsite inspections of retail brokerage branches across the U.S. Assessments entail reviews of supervisory systems, physical settings, on-site records, paperwork, and employee conversations to ensure adherence to company policies, protocols, guidance, and state and federal regulations. The Examiner is accountable for thorough documentation of examination procedures and dissemination of results to branch establishments.

Important Duties and Obligations:

• Implement the risk-based branch examination strategy in Private Client Group branches nationwide, encompassing both FINRA-registered and non-registered locations
• Log the test procedures implemented on the branch exam system and the connected paperwork for future reference
• Employ the instructed sampling methodologies and ensure the sample sizes are appropriate
• Implement your expertise to identify and scrutinize areas with potential risks
• Employ appropriate risk gradings for testing activities and discoveries
• Articulate examination results effectively to branch management, exam managers, and compliance leadership
• Reporting examination findings in a timely manner and completing the necessary follow-up promptly are key components of the process
• Acknowledge and escalate risks and unfavorable trajectories
• Offer help with adherence to regulations and requirements for partners as necessary
• Uphold continuous communication with Compliance and Supervision peers
• Handle special and ad hoc reviews and projects with efficiency and accuracy
• Extend a helping hand to less-experienced peers in need of support and mentorship

Expertise, abilities, and proficiencies:

Advanced Knowledge Of:

• Understanding vital concepts in the securities industry, enforcing regulatory compliance for broker/dealers, and conducting comprehensive branch audits
• The regulatory guidelines put forth by the SEC, FINRA, and state securities bodies serve to promote transparency and fairness in securities transactions
• The theories, methodologies, and processes applied to investment procedures
• The world of financial markets and associated products revolves around the buying and selling of financial assets and instruments to facilitate investment strategies and risk mitigation

Skill In:

• Extensive and just record-keeping of work product
• Straightforward and coherent communication in writing and talking
• Augmenting the consistency and effectiveness of the branch evaluation initiative
• Nurturing strong professional connections centered around trust and respect
• Establishing expertise and handling professional challenges
• Articulating tough or delicate information in a sensitive manner
• Discovering new areas of risk and escalating concerns through appropriate channels
• Dealing with obstacles in multifaceted environments
• Deciphering the organizational setup for efficient access to information
• Adept at using Microsoft Word and Excel

Ability To:

• Performing well under pressure while balancing multiple tasks simultaneously
• Display outstanding capabilities in efficiently managing time and organizing tasks effectively
• Understand and apply PCG policies and procedures
• Ensure tasks are switched without compromising the quality of work
• Resolve disagreements constructively
• Recognize and mitigate potential compliance risks ahead of time
• Execute responsibilities both independently and through group collaboration

Necessities involving education and prior professional background:

• The minimum requirements for this position are a bachelor's degree (B.A./B.S.) and a proven track record of at least three (3) years in conducting licensed assessments
• A mixture of academic accomplishments, specialized training, and practical know-how approved by the Human Resources department can also be considered

Licenses and Certifications:

• Meeting the job criteria entails either having the appropriate Series 7 and Series 24 certifications or being able to acquire them within 120 days of being employed
• Series 9 and 10 possess the ability to stand in for Series 24
• Ideal candidates will have supplementary industry-related licenses or certifications

About Us:

At Raymond James, associates follow five guiding behaviors Develop, Collaborate, Decide, Deliver, and Improve to support the firm core values of client-first service, integrity, independence, and a conservative long-term perspective. Associates are expected to grow professionally, collaborate effectively, make client-focused decisions, take ownership of results, and contribute to continuous improvement.

Raymond James is committed to fostering a people-centric environment that respects and honors the uniqueness, varied backgrounds, and experiences of all associates. The firm operates as an equal opportunity employer, prioritizing employment decisions that are merit-based and aligned with business requirements.

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