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.

Functional Areas:

  • 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:

Knowledge of:

  • 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.

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:

  • 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

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