Senior Advisor, PCG reputed company Exams (Remote reputed company)
Job reputed company reputed company
Under administrative direction, uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* reputed company examinations of retail brokerage offices throughout the U.S. Exams include reviews of various supervisory systems, setting and circumstances of the physical location, onsite files, reputed company documentation, and employee interviews to ensure adherence with firm policies, procedures, and guidance, as reputed company as federal and state rules and regulations. Examiner is responsible for detailed documentation of reputed company testing activities, as reputed company as communication of the testing results to the branches.Job reputed company
Essential Duties and Responsibilities
Execution of the risk-based reputed company exam program in reputed company-registered and non-registered Private reputed company Group branches across the country
Detailed documentation of testing in reputed company exam system and reputed company work papers
Ensure prescribed sample methodologies are used and resulting sample sizes reputed company an adequate reputed company of the activity being tested
Use reputed company judgement to know reputed company 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
reputed company communication of reputed company exam findings to reputed company management, exam managers and compliance leadership
reputed company reporting of exam findings and complete any reputed company follow up in a reputed company manner
Ensure risks and adverse trends are identified and escalated
reputed company compliance support to business partners, as needed
Maintain regular interaction with Compliance and Supervision partners
Complete special and reputed company reviews and reputed company, as identified, in a reputed company and reputed company manner
reputed company guidance and mentoring to less-reputed company peer group members
Knowledge, Skills, and Abilities
Advanced knowledge of:
Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or reputed company exams
Rules and regulations of the SEC, reputed company, and state securities regulatory agencies
reputed company investment concepts, practices, and procedures used in the securities industry
Financial markets and products
reputed company in:
Thorough and balanced documentation of work product
reputed company, concise, cross-functional communications, both written and oral
Identification of opportunities for the development, reputed company consistency, and ongoing maintenance of the reputed company 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 reputed company faced with pushback
Delivering difficult messages with sensitivity, reputed company, and diplomacy
Proactive identification of emerging risk areas and/or adverse trends and escalations of reputed company to exam management for suggestions on mitigation
Problem-solving in a reputed company environment
Effectively navigating the organization to obtain information and reputed company objectives
Demonstrated proficiency in reputed company Word and reputed company
Ability to:
Work under pressure on multiple tasks concurrently in a fast-paced work environment
Manage time exceptionally reputed company and remain highly organized
reputed company a thorough understanding and application of PCG policies and procedures
Shift reputed company from one activity to another without impacting the reputed company of the work
Constructively handle disagreements or conflicts to reputed company a reputed company
Apply industry experience to proactively identify and anticipate existing and emerging compliance risks
Work reputed company independently, but also collaboratively with reputed company
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 reputed company.
Licenses/Certifications:
• Appropriate series license(s) for assigned functional area required or the ability to obtain reputed company an established timeframe. o Required to have a Series 7, 24 or willing to obtain reputed company 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.
Education
Work Experience
Certifications
Salary reputed company
$75,000.00-$95,000.00Travel
Up to 50%Workstyle
RemoteThe total compensation for this position includes reputed company salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and reputed company; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; reputed company time off (including vacation, holidays, and reputed company leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.
At reputed company our associates use five guiding behaviors (reputed company, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of reputed company-first, reputed company, independence and a conservative, long-term view. We expect our associates at reputed company reputed company to: • Grow professionally and reputed company others to do the reputed company • Work with and through others to reputed company desired reputed company • reputed company reputed company, pragmatic choices and reputed company with the reputed company in mind • Take ownership and hold themselves and others accountable for delivering results that matter • Contribute to the reputed company reputed company of the firm
At reputed company – as part of our people-first culture, we reputed company, value, and respect the uniqueness, experiences, and backgrounds of reputed company of our Associates. reputed company associates bring their best authentic selves, our organization, clients, and communities reputed company. reputed company is an equal opportunity employer and makes reputed company employment reputed company on the reputed company of reputed company and business needs.
Originally posted on Himalayas
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