Capital Roles

Raymond James

Senior Advisor, Compliance PCG Branch Exams (Remote Nationwide)

New York · Financial Risk Management · Posted May 13, 2026

Excerpt from Raymond James's posting

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 m…

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