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Senior Associate, Compliance Branch Examiner - Req. 1900436


*Position requires high amount of travel within continental United States.*


Job Summary:

Under limited supervision, uses specialized knowledge of the brokerage, investment advisory, and banking industries, obtained through education and/or experience, training and/or certification, to conduct onsite compliance examinations of Private Client Group offices.  Also, conducts periodic oversight reviews, makes independent determinations, takes appropriate remedial actions, and escalates issues, when appropriate.  May support projects of moderate scope and complexity.  Some guidance is provided to perform varied work that is somewhat difficult in character requiring some evaluation, originality and ingenuity to make moderately complex decisions.  Resolves or recommends solutions to problems.  Extensive contact with internal and external customers is required to identify, research, and resolve problems.


Essential Duties and Responsibilities:

• Scheduling of assigned examinations.

• Performs data collection in compliance with examination program requirements.

• Analyzes collected data to identify irregularities.

• Conducts onsite examinations to evaluate compliance with written policies and procedures.

• Alerts appropriate parties of identified issues, escalates items as appropriate.

• Drafts and distributes examination related communications to internal customers, external customers, and management.

• Adheres to generally accepted organizational examination workflows.

• Manages examination related travel expenses.

• Provides for maintenance of proper books and records relating to areas of assigned responsibilities.

• Reviews exception and other internal reports in compliance with written policies and procedures

• Participates in addressing sensitive compliance issues with management in assigned functional area.

• Recommends process improvements to enhance the effectiveness and efficiency of firm processes.

• Performs other duties and responsibilities as assigned.




Knowledge, Skills, and Abilities:

Knowledge of:

• Financial markets and products.

• Investment concepts, practices and procedures used in the securities industry.

• Concepts, practices and procedures of auditing brokerage and investment advisory firms.

• Rules and regulations of the Securities and Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.

Skill in:

• Planning, organizing and conducting audits.

• Reviewing activities for adherence to organizational policies and procedures.

• Explaining policies and regulations to others.

• Addressing sensitive issues with others.

• Preparing and delivering written communication.

• Operating standard office equipment and using required software applications.

Ability to:

• Attend to detail while maintaining a big picture orientation.

• Gather information, identify potential issues, and use independent judgment on a variety of compliance issues.

• Interpret and apply organizational policies and procedures, as well as securities and/or banking regulations.

• Work under pressure to organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment with frequent interruptions.

• Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.

• Work independently as well as collaboratively within a team environment.

• Provide a high level of customer service.

• Establish and maintain effective working relationships at all levels of the organization.

• Meet tight deadlines.

Educational/Previous Experience Requirements:

• Bachelor’s Degree.


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


  • Series 7 License or ability to obtain within 60 days of employment.
  • SIE required provided that an exemption or grandfathering cannot be applied.

*Position requires high amount of travel within continental United States.