• Execution of the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country

• Detailed documentation of testing in branch exam system and related work papers

• Ensure prescribed sample methodologies are used and resulting sample sizes provide an adequate reflection of the activity being tested

• Use professional judgement to know when to “ask the next question” as potential risk areas are identified

• Apply the appropriate risk weight to a given testing activity and/or finding level

• Clear communication of all exam findings to branch management, exam managers and compliance leadership

• Provide reporting of exam findings and complete any related follow up in a timely manner

• Ensure risks and adverse trends are identified and escalated

• Provide compliance support to business partners, as needed

• Maintain regular interaction with Compliance and Supervision partners

• Complete special and ad hoc reviews and projects, as identified, in a quality and timely manner

• Provide guidance and mentoring to less-experienced peer group members

Knowledge, Skills, and Abilities

Advanced knowledge of:

• Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams

• Rules and regulations of the SEC, FINRA, and state securities regulatory agencies

• Fundamental investment concepts, practices, and procedures used in the securities industry

• Financial markets and products

Skill in:

• Thorough and balanced documentation of work product

• Clear, concise, cross-functional communications, both written and oral

• Identification of opportunities for the development, enhanced consistency, and ongoing maintenance of the branch exam program

• Building strong relationships based on mutual respect, trust, and understanding

• Establishing credibility with others, presenting oneself with confidence, and holding one’s ground when faced with pushback

• Delivering difficult messages with sensitivity, tact, and diplomacy

• Proactive identification of emerging risk areas and/or adverse trends and escalations of same to exam management for suggestions on mitigation

• Problem-solving in a complex environment

• Effectively navigating the organization to obtain information and achieve objectives

• Demonstrated proficiency in Microsoft Word and Excel

Ability to:

• Work under pressure on multiple tasks concurrently in a fast-paced work environment

• Manage time exceptionally well and remain highly organized

• Gain a thorough understanding and application of PCG policies and procedures

• Shift focus from one activity to another without impacting the quality of the work

• Constructively handle disagreements or conflicts to reach a resolution

• Apply industry experience to proactively identify and anticipate existing and emerging compliance risks

• Work well independently, but also collaboratively with the team

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) years of licensed examination experience.                              

                                     ~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications:

• Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe.
   o Required to have a Series 7, 24 or willing to obtain within 120 days of employment
   o Series 9 and 10 can be used instead of the 24
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.