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Job Description

Job Summary

Under limited supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to administer and analyze complex reviews of ERISA retirement plans, as well as Institutional clients (i.e. Endowments / Foundations, Non-Profits, Municipalities), to detect trends and possible rule violations; to ensure fulfillment of contractual obligations; and to adhere to securities industry regulations and core fiduciary principles. 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

+ Proactively ensures compliance with applicable industry rules (i.e. State, FINRA & SEC) and platform policies and procedures as they apply to clients’ institutional and retirement plan accounts by monitoring activity, reporting findings and managing concerns in a professional and educational manner.

+ Conducts supervision reviews to ensure contractual obligations are met for clients such as retirement plans, endowments / foundations, corporations, and municipalities.

+ Serves as primary educational resource for financial advisors with investment monitoring reporting and investment policy statement concepts.

+ Serves as primary educational resource for financial advisors with state law and local ordinance inquiries for municipal clients.

+ Conducts investment recommendation reviews and monitors performance against an investment policy statement (IPS) using various reporting systems.

+ Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise and works together to address these concerns as well as to resolve any conflicts.

+ Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.

+ Interprets, applies and recommends changes to organizational policies and procedures.

+ Consults independently with financial advisors and branch managers and recommends actions to ensure compliance with existing rules and regulations as well as prevent potential liability.

+ Uses financial data and performance indicators to propose and/or assist with establishing control mechanisms and other improvement initiatives. Identifies trends and assists with implementing corrective action as necessary.

+ Performs other duties and responsibilities as assigned.

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, including suitability and other compliance issues involved with institutional and fiduciary activity

• Principles of banking, finance, and securities industry operations

• Rules and regulations of the Department of Labor (DOL); Employee Retirement Income Security Act (ERISA); Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC) and state banking regulatory agencies 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 oriented to ensure regulatory liability is limited, without impairing workflow

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 and enforce company policies and procedures as necessary.

• Establish and communicate clear directions and priorities.

• Provide a high level of customer service to business partners and financial advisors.

Educational/Previous Experience Requirements

Education/Previous Experience

• Bachelor’s degree (B.A) in a related discipline and a minimum of three (3) years of experience in Supervision and/or the financial services industry

• OR ~

• An equivalent combination of experience, education, and/or training

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

+ FINRA Series 7

+ FINRA Series 66 or 63 and 65

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Education

Work Experience

Certifications

Other License Not Listed - Other

Travel

Less than 25%

Workstyle

Hybrid

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

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

At 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.

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