Raymond James Financial, Inc. Advisor, Supervision – Prudent Process Review in St. Petersburg, Florida
Location preference for this role will be at our St. Petersburg, FL Headquarters. Experienced Supervision & Compliance candidates, with active FINRA Series 7 and 24 or 9/10 or 65 or 66 or CFP or equivalent licensure in good standing, may be considered for remote
Job Summary & Responsibilities:
Raymond James’ Private Client Group is hiring a Supervision Advisor to conduct ongoing reviews and ensure the firm and all associates are adhering to SEC regulations and limiting firm liability without hindering business activity.
Trading Activities: day-to-day activities, detecting issues in patterns, reviewing trades, trade processes
Fiduciary Process: advisory process including advice and analysis, recommendations based upon formal process
Advisory Activity: discretionary activity, inactive accounts, independent RIAs, third-party solicitor arrangements
Wrap Program: Financial advisor and third party manager due diligence review
Essential Duties and Responsibilities:
Conducts suitability reviews, and monitors trading activities and fiduciary advice, through the use of various reports and systems including internal and external CRM, financial planning software;
Holistic review of investment advisory household arrangements; risk assessment
Interfaces with sales management associates to inform them of any supervisory concerns that may arise with branch office managers/Financial Advisors and works together with them to address these concerns as well as to resolve any conflicts that may arise related to advisory accounts.
Monitors and keeps up to date with regulations regarding trading activity in advisory accounts and applies them accordingly.
May participate in the formation of policies related to compliance.
Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
Investments and trading, securities industry regulations, and client suitability (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.
Suitability and other compliance issues involved with branch manager/FA trading activity.
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.
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.
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
Series 65/66 or CFP certification required
Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
Job: Auditing & Compliance
Organization: Private Client Group
Title: Advisor, Supervision – Prudent Process Review
Location: FL-St. Petersburg-Saint Petersburg
Requisition ID: 1900540
Raymond James Financial, Inc.
- Raymond James Financial, Inc. Jobs