Advisor, Supervision- Investment Advisory Oversight (Hybrid)-2400777
Description
Job Summary Under limited supervision, uses specialized knowledge and skills obtained through experience, specialized training or certification to administer and analyze various reviews to detect trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability.Reviews advisor and account level advisory day-to-day activity. May be responsible for coordinating supervision functions, developing training programs and ability to liaison between functional areas. Serves as a Technical Advisor to teams. Some guidance is provided to perform varied work that is somewhat difficult in nature and that requires evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Leads defined work or projects of moderate scope and complexity. Maintains extensive contact with internal customers to identify, research, and resolve problems. Essential Duties and Responsibilities Conducts supervision reviews and monitors various advisory activities, through the use of multiple reports and systems.Pro-actively monitors and ensures that activities in clients' accounts meet the objectives of those accounts.Reports findings and manages concerns in a professional manner.Interfaces and communicates directly with advisors and sales management associates to inform them of any supervisory concerns that may arise from their reviews to address those concerns as well as to resolve any conflicts that may arise related to client accounts.Monitors and keeps up to date with advisory regulations.Assists in researching Supervision, Compliance and other issues.Assists in developing training programs, including maintaining training records and coordinating training with functions.Prepares and delivers written and oral presentations. Develops and writes supervisory and desktop policies.Performs other duties and responsibilities as assigned.
Qualifications
Knowledge, Skills, and AbilitiesKnowledge ofInvestments and trading, securities industry regulations, and client suitability (all at a Familiarity/facility with RJ and its systems is preferable.Skill inOperating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.Ability toIndependently manage and complete multiple projects and tasks work independently with minimal direct supervision.Educational/Previous Experience RecommendationsBachelor'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.Licenses/CertificationsAppropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe. o SIE required provided that an exemption or grandfathering cannot be applied.o Required to have a Series 7, 24 and 66o Series 7 and 65 can be used instead of the 66o Applicable designation or CFP can be used instead of the 66 and must be in good standingRaymond James Guiding BehaviorsAt Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firms core values of client-first, integrity, independence and a conservative, long-term view.We expect our associates at all levels toAt Raymond James as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
Job
Compliance
Primary Location
US-FL-St. Petersburg-Saint Petersburg
Organization
Supervision
Schedule
Full-time
Shift
Day Job
Travel
Yes, 5 % of the TimeEligible for Discretionary BonusYes#LI-AF1