Financial Examiner

Description:

Job Summary: This person will be responsible for supporting the PCG (Private Client Group) Branch Exams department at Raymond James. At a high level, this team is responsible for auditing the clien branches to ensure they are in compliance with company policies and regulations. The Auditors are called "Examiners" and this person will be providing administrative support to the team of Examiners.

The Examiner Coordinator will be responsible for gathering all of the forms / documents that the Examiners will need in order to conduct their audit. The Coordinator will have to go into 5-10 different systems and Excel reports to pull these required documents. Once they gather the audit documents, the Examiner will conduct the audit and summarize their findings. Once this is complete, the Coordinator will be responsible for uploading the files and findings into the FINRA database.

Job Duties

• Pull pre-exam documents for examiners
• Monitor PCG Examiners Inbox and reply to requests from branches, internal audit, and other various departments
• Monitor ESS Inbox to document fees & fines submitted by examiners
• Archive exam documents in Service Center Portal
• Back-up assistance provided for phones when examiners are unavailable to take the calls
• Perform various duties as-assigned

Additional Information: The team of coordinators are very close knit and all team players. If one person is drowning, another person will not hesitate to jump in and help.

Must Haves

• At least 1 year of recent experience providing back end / admin support for a company's internal audit or compliance department (someone who has been an auditor may be bored in this role)
• Ability to navigate through numerous systems at once
• Basic to intermediate skills with Microsoft Excel
• Strong attention to detail
• High sense of urgency
• Enthusiastic team player
• Ability to prioritize a demanding workload; ability to multi-task
• Clear and professional written and oral communication skills; ability to use proper grammar and spelling at all times