Responsibilities:
- Execution of the risk-based branch exam program.
- Detailed documentation of testing in branch exam system.
- Ensure prescribed sample methodologies are used.
Qualifications:
- Advanced knowledge of securities industry.
- Skill in clear, concise communications.
- Ability to work under pressure.
Requirements:
- Bachelor’s degree.
- Minimum of three (3) years of licensed examination experience.
- Appropriate series license(s) for assigned functional area required.
Raymond James
Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. They have locations and subsidiaries across the United States, Canada, the United Kingdom and Germany.