Branch Risk Examiner

Job Description:Branch Risk Examiner

The position involves utilizing experience, specialized training, and certification in the securities sector to execute onsite audits of retail brokerage locations nationwide. These assessments encompass the scrutiny of supervisory mechanisms, physical premises, on-site documentation, records, and staff interactions to guarantee conformity with organizational regulations, protocols, directives, and local and national statutes. The Examiner is accountable for extensively recording testing operations and transmitting outcomes to branch facilities.

Necessary Functions and Obligations:

• Roll out the risk-centered audit initiative in Private Client Group branches throughout the country, regardless of FINRA registration status
• Keep a detailed log of the testing procedures performed on the branch evaluation system and its accompanying documentation
• Utilize specified sampling methods and sufficient sample sizes in the process
• Apply your professional discernment to recognize and explore potential areas of concern
• Allocate proper risk assessments to the examination activities and discoveries
• Effectively communicate exam findings to branch management, exam managers, and compliance leaders
• Timely reporting of examination results and ensuring that all necessary follow-up steps are completed promptly are essential
• Spot and raise awareness about risks and negative developments
• Provide necessary support for adherence to regulations for business partners on an as-needed basis
• Ensure ongoing contact with Compliance and Supervision counterparts
• Skillfully and accurately handle specialized and one-time evaluations and tasks
• Provide mentorship and advice to less-seasoned team members seeking guidance

Expertise, talents, and proficiencies:

Advanced Knowledge Of:

• Grasping fundamental notions within the securities sector, upholding compliance standards for broker/dealers, and conducting thorough examinations of branch operations
• The regulations established by the SEC, FINRA, and state securities bodies are intended to oversee the operations within the securities industry
• The ideas, customs, and steps involved in making financial investments
• Financial markets encompass the platforms where participants trade a variety of instruments and assets to meet their investment goals and manage risks

Skill In:

• Detailed and fair documentation of job outcomes
• Communication that is easily understood and to the point
• Enhancing the coherence and efficacy of the branch examination initiative
• Creating robust working relationships built on trust and respect
• Establishing authority and dealing with professional opposition
• Artfully delivering tricky or delicate messages with finesse
• Detecting new risk factors and raising issues through suitable escalation methods
• Addressing challenges within complicated contexts
• Finding a path through organizational setups to gather information effectively
• Proficient in the use of Microsoft Word and Excel

Ability To:

• Successfully managing a heavy workload amidst tight deadlines
• Display remarkable time management and organizational aptitude
• Understand and apply PCG policies and procedures
• Keep quality standards consistent when shifting attention between tasks
• Resolve disagreements constructively
• Take the initiative to recognize established and evolving adherence vulnerabilities
• Operate independently and in synergy with others in a team setting

Educational criteria and relevant experience stipulations needed:

• A minimum of three (3) years in examination practice is necessary, in addition to holding a bachelor's degree (B.A./B.S.)
• Alternatively, a blend of academic qualifications, hands-on learning, and relevant experience accepted by the Human Resources department can be considered

Licenses and Certifications:

• The position mandates having either obtained Series 7 and Series 24 certifications or being eligible to secure them within a 120-day window upon starting the job
• Series 9 and 10 are interchangeable with Series 24
• It is desirable to possess additional licenses or certifications related to the field

About Us:

Raymond James associates are expected to embody five key behaviors Developing, Collaborating, Decision-making, Delivering, and Enhancing—to align with the company's central values of putting clients first, integrity, independence, and a prudent long-term outlook. Employees are anticipated to advance professionally, work together harmoniously, make decisions with the client in focus, own up to their results, and participate in constant improvement.

The culture at Raymond James prioritizes the recognition and appreciation of each associate's distinctiveness, histories, and diverse backgrounds. Operating as an equal opportunity employer, the firm emphasizes making hiring choices that align with merit and the demands of the business.

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