**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 methodologies are used and resulting sample sizes provide an adequate reflection of the activity being tested
+ Use professional judgement to know when to “ask the next question” as potential risk areas are identified
+ Apply the appropriate risk weight to a given testing activity and/or finding level
+ Clear communication of all exam findings to branch management, exam managers and compliance leadership
+ Provide reporting of exam findings and complete any related follow up in a timely manner
+ Ensure risks and adverse trends are identified and escalated
+ Provide compliance support to business partners, as needed
+ Maintain regular interaction with Compliance and S...