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Job Description

Job Summary:

The Traditional Product team oversees annuity and insurance transaction exception reviews as well as packaged product supervisory functions. The team conducts analysis as part of complex suitability reviews to detect trends, and trading patterns to ensure adherence to securities industry regulations and limit firm liability.

An Advisor for the Packaged Products team would be expected to analyze various compliance and suitability reviews to detect trends of post-trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. The packaged product category includes but is not limited to mutual funds, UITs, exchange traded products and fixed income.

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 compliance and suitability reviews, and monitors trading activities, through the use of various reports and systems.

• Monitors and ensures that trading activities in clients’ accounts meet the objectives of those accounts. Reports findings and manages concerns in a professional manner.

• Interfaces with sales management associates to inform them of any supervisory concerns that may arise with branch office managers/FAs and works together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts.

• Monitors and keeps up to date with regulations regarding trading activity in client accounts 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 of:

• Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of Series 9, 10, and 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.

~or~

• 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.

o SIE required provided that an exemption or grandfathering cannot be applied.

o Required to have a Series 7, 9, 10 and 63

o Series 66 can be used instead of the 63

o Series 24 and 53 can be used instead of the 9 and 10

• 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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