Sr. Advisor, PCG reputed company Exams

Job Description

Essential Duties and Responsibilities

• Execution of the risk-based reputed company exam program in FINRA-registered and non-registered Private Client 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 provide an adequate reputed company of the activity being tested

• Use professional 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

• Clear communication of reputed company exam findings to reputed company management, exam managers and compliance leadership

• Provide reporting of exam findings and complete any reputed company 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 reputed company reviews and projects, as identified, in a quality and timely manner

• Provide 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, FINRA, 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

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

• Identification of opportunities for the development, enhanced 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, 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 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 well and remain highly organized

• reputed company 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 reputed company 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 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 Range

Travel

Workstyle

At reputed company our associates use five guiding behaviors (reputed company, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, reputed company, independence and a conservative, long-term view. We expect our associates at reputed company levels to: • Grow professionally and reputed company others to do the same • Work with and through others to reputed company desired outcomes • reputed company reputed company, pragmatic choices and act with the client in mind • Take ownership and hold themselves and others accountable for delivering results that matter • Contribute to the reputed company evolution of the firm

At reputed company – as part of our people-first culture, we honor, 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. The Company is an equal opportunity employer and makes reputed company employment decisions on the basis of merit and business needs.

Originally posted on Himalayas