"Alerted.org

Job Description Summary

Assists in conducting internal reviews in order to ensure compliance with outside regulatory requirements and internal policies. Recommends change through presentation of facts and/or legislation. Has knowledge of government laws and regulations affecting the company's business area, and ability to interpret laws and regulations in light of operations.

Job 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:

Raymond James is hiring a Supervision Senior Advisor to review and analyze account disclosures and transaction reviews to detect trends, trading patterns and possible rules violations and ensure adherence to securities industry regulations and limit firm liability.

Conduct internal reviews to ensure compliance with regulatory requirements and internal policies including potential conflicts of interest. Assess and report on compliance risks, investigate incidents and take action to ensure compliance. Must have knowledge of government laws and regulations affecting the company's business area, and ability to interpret laws and regulations in light of operations. Ensures all external regulatory frameworks are complied with within reasonable risk and cost parameters.

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 PCG branches and home office business units as well as internal support departments.

+ Ability to perform analytics and create process efficiencies is a plus.

+ Series 7 required, Series 24 License (within 90 days of join), Series 66 (within 180 days of join).

Essential Duties and Responsibilities:

+ Reviews requests for Outside Brokerage Accounts to ensure compliance with firm policy and regulatory rules (e.g., FINRA 3210).

+ Liaise with employees and certain broker-dealers to ensure completion of policy driven requirements including account certifications, disclosure, and ongoing receipt of transactions.

+ Interfaces with specific business platform management associates to inform them of any supervisory concerns that may arise with branch or home office associates and work together with them to address these concerns as well as to resolve any conflicts.

+ Monitors and keeps up to date with applicable securities/advisory regulations.

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

+ Performs other duties and responsibilities as assigned.

Knowledge of:

+ Investments and trading, securities industry regulations, and conflicts of interest (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.

+ Conflicts of Interest 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.

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 (within 90 days of join) and 66 (within 180 days of join)

+ 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.

Education

Bachelor’s: Accounting, Bachelor’s: Business Administration

Work Experience

General Experience - 3 to 6 years

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

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.

\#LI-AF1