Field Branch Examiner

Field Branch Examiner

Job Summary:

Under the direction of administration, employs expertise and acquired skills from experience, specific training, or certification in the securities industry to perform on-site branch inspections of retail brokerage outlets throughout the U.S. Evaluations consist of inspections of supervisory systems, physical sites, on-site documentation, files, and interviews with employees to ensure alignment with firm policies, procedures, guidance, and federal and state regulations. The Examiner is tasked with detailed documentation of testing activities and dissemination of results to branches.

Fundamental Duties and Roles:

• Carry out the risk-centric inspection plan in Private Client Group branches across the nation, irrespective of their registration with FINRA
• Document the quality assurance procedures executed within the branch examination system and relevant file documents
• Adhere to the prescribed sampling methodologies and ensure adequate sample sizes are utilized
• Exercise professional discretion in detecting and examining possible risk areas
• Utilize correct risk weights for testing exercises and outcomes
• Ensure clear transmission of examination outcomes to branch management, exam managers, and compliance heads
• It is crucial to promptly report examination findings and ensure that follow-up procedures are carried out in a timely manner
• Identify and bring attention to hazards and detrimental trends
• Extend help with compliance issues to partners in a supportive capacity
• Foster frequent engagement with Compliance and Supervision associates
• Conduct special and spontaneous appraisals and assignments with efficiency and precision
• Aid and support less-experienced peers in their professional development journey

Understanding, capabilities, and aptitudes:

Advanced Knowledge Of:

• Comprehending core concepts in the securities field, maintaining regulatory compliance for brokerage firms, and overseeing branch evaluation protocols
• SEC, FINRA, and state securities regulations work to ensure compliance and enforce rules within the realm of securities trading
• The theories, techniques, and systems used in the realm of investments
• In the domain of finance, markets and financial tools refer to the mechanisms utilized by investors and organizations for investment and capital growth

Skill In:

• Exhaustive and impartial record of work results
• Articulate and brief written and verbal interaction
• Boosting the consistency and productivity of the branch audit scheme
• Forming strong professional bonds that prioritize trust and respect
• Earning respect and navigating resistance in a professional environment
• Tactfully communicating challenging or sensitive content with grace
• Spotting potential risk zones and escalating worries efficiently
• Resolving issues in intricate environments
• Navigating the intricacies of organizational hierarchies to acquire relevant data
• Skillful with Microsoft Word and Excel

Ability To:

• Demonstrating the ability to work effectively under stress while juggling different responsibilities
• Exhibit exceptional skills in managing time wisely and organizing tasks proficiently
• Understand and apply PCG policies and procedures
• Ensure a seamless switch between tasks without sacrificing quality
• Resolve disagreements constructively
• Anticipate and manage both present and upcoming regulatory risks promptly
• Engage in both independent work and teamwork effectively

Requirements related to education and past professional background:

• The eligibility criteria include possessing a bachelor's degree (B.A./B.S.) and having a minimum of three (3) years of licensed examination background
• Education, training, and experience that meet the standards set by Human Resources can also be a suitable alternative

Licenses and Certifications:

• Candidates need to either hold Series 7 and Series 24 certifications or be in a position to achieve them within 120 days of commencing employment to meet the requirements of the role
• Series 9 and 10 have the flexibility to be swapped for Series 24
• Preferred qualifications include industry-specific licenses or certifications

About Us:

At Raymond James, staff members are guided by five main behaviors—Growth, Teamwork, Decision-making, Achievement, and Evolution—to reinforce the company's fundamental beliefs in prioritizing client needs, integrity, autonomy, and a cautious, future-oriented mindset. Employees are tasked with advancing their skills, collaborating effectively, making decisions based on client interests, taking responsibility for their work, and contributing to ongoing progress.

At Raymond James, there is a strong emphasis on valuing and acknowledging the individuality, backgrounds, and experiences of all team members. The company prides itself on being an equal opportunity employer, ensuring that hiring decisions are made based on merit and organizational necessities.

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