Branch Examiner

Job Title: Branch Examiner

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.

Essential Duties and Responsibilities

• Execute the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches nationwide
• Document testing activities in the branch exam system and related work papers
• Ensure prescribed sampling methodologies and adequate sample sizes are applied
• Exercise professional judgment to identify and investigate potential risk areas
• Apply appropriate risk weights to testing activities and findings
• Communicate exam findings clearly to branch management, exam managers, and compliance leadership
• Provide reporting of exam findings and complete follow-up in a timely manner
• Identify and escalate risks and adverse trends
• Provide compliance support to business partners as needed
• Maintain regular interaction with Compliance and Supervision partners
• Complete special and ad hoc reviews and projects efficiently and accurately
• Provide guidance and mentoring to less-experienced peers

Knowledge, Skills, and Abilities:

Advanced Knowledge Of:

• Securities industry concepts, broker/dealer compliance, and branch examination practices
• SEC, FINRA, and state securities regulations
• Investment concepts, practices, and procedures
• Financial markets and products

Skill In:

• Comprehensive and balanced documentation of work product
• Clear, concise written and verbal communication
• Enhancing consistency and effectiveness of the branch exam program
• Building strong professional relationships based on trust and respect
• Establishing credibility and managing professional pushback
• Delivering sensitive or difficult messages tactfully
• Identifying emerging risk areas and escalating concerns appropriately
• Problem-solving in complex environments
• Navigating organizational structures to obtain information
• Proficiency in Microsoft Word and Excel

Ability To:

• Work under pressure while managing multiple priorities
• Demonstrate exceptional time management and organizational skills
• Understand and apply PCG policies and procedures
• Shift focus between tasks without compromising quality
• Resolve disagreements constructively
• Proactively identify existing and emerging compliance risks
• Work independently and collaboratively within a team

Education and Previous Experience Requirements:

• Bachelor’s degree (B.A./B.S.) and a minimum of three (3) years of licensed examination experience
• Or an equivalent combination of education, training, and experience approved by Human Resources

Licenses and Certifications:

• Series 7 and Series 24 required or ability to obtain within 120 days of employment
• Series 9 and 10 may be substituted for Series 24
• Additional industry-related licenses or certifications preferred

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.

As part of Raymond James’ people-first culture, the firm honors and respects the uniqueness, experiences, and backgrounds of all associates. The company is an equal opportunity employer and makes employment decisions based on merit and business needs.

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