Senior Advisor, Compliance PCG Branch Exams

Raymond James

This role involves conducting onsite examinations of retail brokerage offices, ensuring compliance with federal and state regulations.

Last checked on July 31, 2026. We may earn a commission when you click through.

This position is ideal for experienced compliance professionals looking to make an impact in the financial sector. However, the demanding nature of the role may not suit everyone.

✓ Opportunity to work with a reputable firm ✓ Direct influence on compliance standards ✓ Engagement with various branches

Senior Advisor, Compliance PCG Branch Exams

Raymond James

Updated 17 days ago

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New York On-site

This position is ideal for experienced compliance professionals looking to make an impact in the financial sector. However, the demanding nature of the role may not suit everyone.

About this role

This role involves conducting onsite examinations of retail brokerage offices, ensuring compliance with federal and state regulations.

About the Company

Raymond James is a financial services firm that provides investment and wealth management solutions to clients across the United States.

Key Highlights

✓ Conduct onsite branch examinations
✓ Document testing activities
✓ Ensure adherence to federal and state regulations
✓ Communicate results effectively
✓ Work directly with retail brokerage offices

💡 Honest Take: Working at Raymond James can be rewarding, but the role may involve significant travel and high-pressure environments. Expect to face challenges in ensuring compliance amidst varying interpretations of regulations.

Pros

✓ Opportunity to work with a reputable firm
✓ Direct influence on compliance standards
✓ Engagement with various branches

Cons

✗ High travel requirements
✗ Potentially high-pressure environment
✗ Role may entail difficult conversations with branch personnel

Best For: Compliance experts who thrive in dynamic environments and enjoy direct interaction with retail brokerage offices.

Watch Out: Be prepared for extensive travel and the need to navigate complex regulatory landscapes.

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What Customers Say

Employees appreciate the firm's reputation and commitment to compliance, but some mention the demanding nature of the role.

Expert Review

Our editorial team found this role at Raymond James to be a for seasoned compliance professionals. Expect to conduct thorough onsite examinations, which can be both rewarding and demanding. The position requires a strong understanding of federal and state regulations, making it critical for maintaining the firm’s integrity.

that while the role offers significant responsibility, the travel requirements may be extensive. You'll be visiting multiple branches, which can lead to a high-stress environment. Communication skills are essential, as you'll need to effectively convey examination findings and ensure compliance across different teams.

the work culture at Raymond James is generally supportive, but the pressure to meet compliance standards can be a challenge. Those who thrive in structured environments will likely find this position fulfilling, while others may feel overwhelmed by the demands of ensuring adherence to complex regulations.