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With a high level of autonomy, uses extensive knowledge and skills obtained through experience and education to provide leadership and strategic direction to the Branch Examinations team. Reports to the CCO of PCG, and participates in the PCG Compliance Leadership team in enhancing and maturing the Branch Exams Program and developing metrics and reporting supporting Compliance, Supervision and PCG senior business and risk leaders.
The Head of Branch Exams will lead a team of compliance professionals responsible for conducting onsite reviews of Branch Office locations in compliance with regulatory requirements and guidance. The Head of Branch Exams will develop a risk based methodology to conduct oversight and evaluate the effectiveness of supervisory controls and activities in branch offices. This role will oversee a multi-level governance structure, the development, approval and completion of annual branch exam testing plan, recommendations for control enhancements, and communication of examination results, trends and patterns, and areas of emerging risks.
Essential Duties and Responsibilities:
Lead the Branch Exam team covering exams for Raymond James PCG as well as other lines of business across Raymond James & associates (RJA) and Raymond James Financial Services (RJFS).
Liaise with Senior Management in Compliance, Supervision, Risk, Operations, PCG, and Internal Audit to provide information regarding Branch Exam issues and corresponding remediation plans.
Evaluate program adherence to FINRA/SEC regulatory requirements and guidance.
Lead an assessment of all facets of the Branch Exam program: exam modules for each line of business, exam processes, pre-work, test scripts, protocols, risk ranking of deficiencies, exam reports and responses, technology, metrics, reporting, and examiner training.
Make recommendations based on assessment results regarding organization structure, resources and technology needs.
Support a culture of risk management and compliance throughout all levels within the Firm.
Evaluate headcount, required skills, travel costs.
Develop a risk based approach to the execution of the annual exam schedule.
Oversee talent development.
Assist in providing input and analysis for Legal and Regulatory requests
Collaborate with other areas in PCG Compliance to monitor regulatory developments for impact on testing requirements.
Ensure proper communications to relevant stakeholders.
Plan, assign, monitor, review and evaluate the work of others.
Perform other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
Extensive knowledge and experience with laws, rules and regulations governing broker dealers.
Advanced knowledge of FINRA rules and the Securities Exchange Act of 1934, and applicable rules thereunder.
Advanced knowledge of operational processes within broker dealer branch offices
Extensive knowledge of audit and control testing.
Experience in financial services and broker dealer product offerings.
Ability to think strategically on large scale programs and track and monitor to completion.
Strong relationship management, interpersonal and leadership skills.
Strong presentation, oral and written communication skills.
Strong project management skills, sound decision-making exhibiting initiative and intuitive thinking.
Ability to prepare and deliver clear, effective, and professional presentations.
Strong analytical skills and ability to analyze examination trends.
Ability to operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Ability to partner with other functional areas to accomplish objectives.
Ability to prioritize and work concurrently on multiple assignments to meet conflicting deadlines in a fast-paced work environment.
Ability to identify training needs and develop subordinates.
Educational/Previous Experience Recommendations:
Minimum of fifteen (15) years of experience in financial services, a broker-dealer or regulatory agency.
A minimum of ten (10) years of managerial experience in a branch examination program for a FINRA registered broker dealer.
Any equivalent combination of experience, education, and/or training approved by Human Resources.
FINRA Series 24 required.
Additional licenses/certifications demonstrating knowledge/expertise in industry
At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
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Raymond James & Associates, Inc., member New York Stock Exchange / SIPC, and Raymond James Financial Services, Inc., member FINRA / SIPC, are subsidiaries of Raymond James Financial, Inc.
Raymond James is a registered trademark of Raymond James Financial, Inc.
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