Address
Form of work
Salary
Department Overview:
Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management.
The Supervision department partners closely with the business to proactively mitigate risk. Our department supports business units by managing activity/account reviews, product oversight, escalation/approvals and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the firm while preserving our culture, and adhering to our core values of client first, conservatism, independence and integrity.
At Raymond James, we are putting the power of perspectives into action and building an inclusive and diverse workforce that reflects our commitment to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, and continuing education options.
Job Summary:
Raymond James is hiring a Supervision Advisor to review and analyze various communication reviews and content to ensure compliance with regulatory expectations and firm policies and procedures.
This position maybe 100% Remote.
Our ideal contributor will:
- Serve as a trusted business partner to our Financial Advisor teams by providing expertise with financial services related supervision and compliance issues.
- Have confidence in making recommendations based on research and analysis conducted by the Supervision Advisor.
- Maintain frequent contact and establish positive relationships with our field offices, via phone and email, through reactive and proactive measures.
- Act as the go-to supervision partner for technical issues, ongoing training, and all supervision related questions and concerns from the investment teams as well as internal support departments.
- Series 7, Series 65/66 & Series 24 Licenses required.
Essential Duties and Responsibilities:
- Conducts review of advertising material to ensure compliance with applicable industry rules (i.e. State, FINRA, & SEC) and firm policies and procedures.
- Researches compliance & supervision issues with respect to advertising material.
- Monitors and keeps up to date with regulations regarding communications and applies them accordingly.
- Assists in researching Supervision issues.
- Assists in developing training programs, including maintaining training records and coordinating training with functions.
- Prepares and delivers written and oral presentations to business units.
- May participate in the formation of policies related to compliance.
- Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
- Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of Series 24 licensing). Familiarity/facility with RJ and its systems is preferable.
- Company’s working structure, policies, mission, and strategies.
- General office practices, procedures, and methods.
- Suitability and other compliance issues involved with branch manager/FA trading activity.
Skill in:
- Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.
- Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.
- Detail orientation to ensure the regulatory liability is limited, without impairing workflow.
- Utilizing business-appropriate phone manners.
Ability to:
- Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.
- Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers/FAs.
- Establish and communicate clear directions and priorities.
- Provide a high level of customer service.
Educational/Previous Experience Recommendations:
- Bachelor’s degree (B.A) in a related discipline and a minimum of two (2) years of experience in Supervision and/or the financial services industry.
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
- Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
- SIE required provided that an exemption or grandfathering cannot be applied.
- Required to have a Series 7, 24 and 66
- Series 65 and 63 can be obtained instead of 66
- Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
We expect our associates at all levels to:
- Grow professionally and inspire others to do the same
- Work with and through others to achieve desired outcomes
- Make prompt, pragmatic choices and act with the client in mind
- Take ownership and hold themselves and others accountable for delivering results that matter
- Contribute to the continuous evolution of the firm
