Raymond James Financial, Inc. Advisor, Supervision - Money Movement in St. Petersburg, Florida
Under limited supervision uses specialized knowledge and skills obtained through experience, specialized training or certification to administer and analyze various compliance reviews to detect trends and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Approves day-to-day money movement activity. Leads defined work or projects of moderate scope and complexity.
Essential Duties andResponsibilities:
Conducts money movementreviewsthrough the use of various reports and systems.
Contacts clients to verbally verify disbursements thatmeet certain thresholds.
Monitors and responds to emails received in the RJFS Supervisioninbox.
Runs various reports to monitor ACH, Standing LOA,Securities Journals, and Periodic Payment setups for Branch Manager clientaccounts. Reports findings and manages concerns in a professional manner.
Interfaces with sales management associates to informthem of any supervisory concerns that may arise with branch officemanagers/FAs and works together with them to address these concerns aswell as to resolve any conflicts that may arise related to clientaccounts.
Monitors and keeps up to date with regulationsregarding money movement activity in client accounts and applies themaccordingly.
May participate in the formation of policies related tocompliance.
Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
Investments and trading, securities industryregulations, and money movement policies (all at a level consistent withthe Series 24 and/or 9/10 licensing as required by functional area).Familiarity/facility with RJ and its systems is preferable.
Company's working structure, policies, mission, andstrategies.
General office practices, procedures, and methods.
Suitability and other compliance issues involved withbranch manager/FA money movement activity.
Operating standard office equipment and using requiredsoftware applications to produce correspondence, reports, electroniccommunication, spreadsheets, presentations, and databases.
Critical thinking and decision-making, involving theinterpretation of regulatory rules and compliance policies.
Detail orientation to ensure the regulatory liabilityis limited, without impairing workflow.
Utilizing business-appropriate phone manners.
Independently manage and complete multiple projects andtasks; work independently with minimal direct supervision.
Use appropriate interpersonal styles and communicateeffectively and professionally, both orally and in writing, with allorganizational levels including branch managers/FAs.
Establish and communicate clear directions and priorities.
Provide a high level of customer service.
- Bachelor's degree (B.A) in a related discipline and aminimum of 3 years experience in retail securities sales, salesmanagement, operations, or compliance.
- Any equivalent combination of experience, education,and/or training approved by Human Resources.
- Series 7 license required. Series 24 licenses required orability to obtain within designated timeframe. Series 6 and 26 maybe accepted in place of 7 and 24, depending on assigned functional area.
Job: Administrative & Support Services
Title: Advisor, Supervision - Money Movement
Location: FL-St. Petersburg-Saint Petersburg
Requisition ID: 1900531
Raymond James Financial, Inc.
- Raymond James Financial, Inc. Jobs