Branch Assurance Officer

Job Summary:Branch Assurance Officer

Under administrative direction, uses knowledge and skills obtained through experience, specialized training and/or certification in the securities industry to conduct onsite branch examinations of retail brokerage offices throughout the U.S. Exams include reviews of supervisory systems, physical location settings, onsite files, documentation, and employee interviews to ensure adherence with firm policies, procedures, guidance, and federal and state regulations. The Examiner is responsible for detailed documentation of testing activities and communication of results to branches.

Vital Responsibilities and Duties:

• Execute the risk-focused branch inspection initiative in Private Client Group branches nationwide, whether they are registered with FINRA or not
• Create a detailed account of the testing tasks executed on the branch exam platform and the associated work papers
• Adhere to specified sampling methodologies and ensure the sample sizes are sufficient
• Utilize your professional judgment to investigate and mitigate potential risks
• Utilize proper risk weight allocations for testing activities and findings
• Deliver exam results in a clear manner to branch management, exam managers, and compliance leadership
• Prompt reporting of examination findings and timely completion of follow-up are essential for a successful outcome
• Recognize and escalate potential risks and negative trends
• Extend compliance assistance to partners whenever required
• Support regular connection with Compliance and Supervision allies
• Accurately and efficiently carry out one-time and specialized reviews and tasks
• Provide guidance and coaching to junior team members as they grow in their roles

Proficiencies, expertise, and abilities:

Advanced Knowledge Of:

• Understanding fundamental concepts in the securities industry, enforcing compliance measures for broker/dealers, and overseeing branch inspection practices
• The rules and regulations issued by the SEC, FINRA, and state securities divisions are essential for protecting investors and maintaining market stability
• The principles, protocols, and techniques governing investment practices
• Within the scope of finance, financial markets and products encompass the trading and exchange of various assets and instruments to support investment objectives

Skill In:

• Detailed and impartial record of job performance
• Easy-to-follow communication both in written form and through speech
• Amplifying the coherence and impact of the branch assessment program
• Building enduring professional relationships based on mutual trust and respect
• Demonstrating competence and addressing professional skepticism
• Masterfully delivering difficult or sensitive messages with subtlety
• Observing emerging risk categories and escalating concerns to the relevant parties effectively
• Handling challenges in complex scenarios
• Untangling the organizational hierarchy to access the required information
• Familiarity with Microsoft Word and Excel

Ability To:

• Excelling at handling multiple priorities while working under stress
• Demonstrate outstanding time management techniques and organizational proficiency
• Understand and apply PCG policies and procedures
• Juggle tasks while ensuring that the quality remains intact throughout
• Resolve disagreements constructively
• Be vigilant in spotting both current and future compliance risks
• Carry out duties autonomously and in coordination with others within a team

Stipulations on educational qualifications and previous employment history:

• Applicants need to have completed a bachelor's degree (B.A./B.S.) and gained at least three (3) years of experience working with licensed assessments
• An acceptable blend of education, training, and experience validated by Human Resources is also a viable option

Licenses and Certifications:

• Candidates must possess Series 7 and Series 24 certifications or have the ability to gain them within four months of being enlisted for the position
• Series 9 and 10 are alternative options for Series 24
• Industry-related licenses or certifications are recommended for this position

About Us:

At Raymond James, associates follow five guiding behaviors Develop, Collaborate, Decide, Deliver, and Improve to support the firm s 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.

The culture at Raymond James revolves around prioritizing the value and respect for the uniqueness, diverse experiences, and backgrounds of its associates. Serving as an equal opportunity employer, the firm makes hiring decisions based on merit and the operational needs of the business.

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