**Essential Duties and Responsibilities** + 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.