- SALARY:NONE
- Saint Petersburg, Florida
Saint Petersburg, Florida
Senior Advisor, Supervision- Dispute Resolution (Hybrid)-2401345
Description
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
Under limited supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to administer and analyze complex suitability reviews to detect trends, trading patterns and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity and provides comprehensive solutions to complex problems.
Essential Duties and Responsibilities
Monitors activities of associates through the use of various reports and systems.
Pro-actively ensures compliance with applicable industry rules (i.e. State, FINRA & SEC) and platform policies and procedures as they apply to various supervision activities.
Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.
Interprets, applies and recommends changes to organizational policies and procedures.
Through quality control activities, identifies data integrity issues and performance concerns while ensuring regulatory obligations are being met.
Assigns, monitors and reviews the work of associates.
Leads meetings to determine the Firm's regulatory obligations regarding U4 amendments and 4530 complaint and settlement reporting.
Communicates errors, associate performance concerns and data issues with senior managers.
Performs other duties and responsibilities as assigned.
Qualifications
Knowledge, Skills, and Abilities
Knowledge of
Company's working structure, policies, mission, and strategies.
General office practices, procedures, and methods.
Concepts, practices and procedures of securities industry and/or banking compliance, including suitability and other compliance issues involved with retail activity.
Principles of banking, finance, and securities industry operations
Rules and regulations of the Securities Exchange Commission (SEC) Financial Industry Regulatory Authority (FINRA) and state securities regulatory agencies and/or Federal Deposit Insurance Corporation (FDIC) sufficient to perform the functions of this job.
Skill in
Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Detail orientation to ensure the regulatory liability is limited, without impairing workflow.
Utilizing business-appropriate phone manners.
Ability to
Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.
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.
Work effectively with Financial Advisors as their sales supervisor and enforce company policies and procedures as necessary.
Establish and communicate clear directions and priorities.
Provide a high level of customer service.
Educational/Previous Experience Requirements
Bachelor's degree (B.A) in a related discipline and a minimum of five (5) years of experience in Supervision and/or the financial services industry.
~or~
An equivalent combination of experience, education, and/or training.
Licenses/Certifications
Series 7 and 24 license(s) for assigned functional area preferred
Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.
Raymond 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