Remote Advisor, Supervision- Advertising (Remote) bei Raymond James

%3Cp%3E%3Cspan style=%22font-family: arial, helvetica, sans-serif;%22%3E%3Cspan style=%22font-size: 16px;%22%3E%3Cstrong%3EDepartment Overview:%3C/strong%3E%3C/span%3E%3C/span%3E%3C/p%3E%0A%3Cp%3E%3Cspan style=%22font-family: arial, helvetica, sans-serif;%22%3E%3Cspan style=%22font-size: 16px;%22%3ERaymond 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.%3C/span%3E%3C/span%3E%3C/p%3E%0A%3Cp%3E%3Cspan style=%22font-family: arial, helvetica, sans-serif;%22%3E%3Cspan style=%22font-size: 16px;%22%3EThe 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.%3C/span%3E%3C/span%3E%3C/p%3E%0A%3Cp%3E%3Cspan style=%22font-family: arial, helvetica, sans-serif;%22%3E%3Cspan style=%22font-size: 16px;%22%3EAt 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.%26nbsp;%3C/span%3E%3C/span%3E%3C/p%3E%0A%3Cp style=%22margin-top: 0px; margin-bottom: 0px;%22%3E%26nbsp;%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-bottom: 9.0pt; line-height: normal; background: white; vertical-align: middle;%22%3E%3Cstrong%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27; color: black;%22%3EJob Summary:%3C/span%3E%3C/strong%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-bottom: 9.0pt; line-height: normal; background: white; vertical-align: middle;%22%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27; color: black;%22%3ERaymond James is hiring a Supervision Advisor to review and analyze various communication reviews and content to ensure compliance with regulatory expectations and firm policies and procedures.%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-bottom: 9.0pt; line-height: normal; background: white; vertical-align: middle;%22%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27; color: black;%22%3EThis position maybe 100% Remote.%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-bottom: 9.0pt; line-height: normal; background: white; vertical-align: middle;%22%3E%3Cstrong%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27; color: black;%22%3EOur ideal contributor will:%3C/span%3E%3C/strong%3E%3C/p%3E%0A%3Cul type=%22disc%22%3E%0A%3Cli class=%22MsoNormal%22 style=%22color: black; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; line-height: normal; mso-list: l1 level1 lfo1; tab-stops: list .5in; background: white; vertical-align: middle;%22%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27;%22%3EServe as a trusted business partner to our Financial Advisor teams by providing expertise with financial services related supervision and compliance issues.%3C/span%3E%3C/li%3E%0A%3Cli class=%22MsoNormal%22 style=%22color: black; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; line-height: normal; mso-list: l1 level1 lfo1; tab-stops: list .5in; background: white; vertical-align: middle;%22%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27;%22%3EHave confidence in making recommendations based on research and analysis conducted by the Supervision Advisor.%3C/span%3E%3C/li%3E%0A%3Cli class=%22MsoNormal%22 style=%22color: black; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; line-height: normal; mso-list: l1 level1 lfo1; tab-stops: list .5in; background: white; vertical-align: middle;%22%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27;%22%3EMaintain frequent contact and establish positive relationships with our field offices, via phone and email, through reactive and proactive measures.%3C/span%3E%3C/li%3E%0A%3Cli class=%22MsoNormal%22 style=%22color: black; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; line-height: normal; mso-list: l1 level1 lfo1; tab-stops: list .5in; background: white; vertical-align: middle;%22%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27;%22%3EAct as the go-to supervision partner for technical issues, ongoing training, and all supervision related questions and concerns from the investment teams as well as internal support departments.%3C/span%3E%3C/li%3E%0A%3Cli class=%22MsoNormal%22 style=%22color: black; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; line-height: normal; mso-list: l1 level1 lfo1; tab-stops: list .5in; background: white; vertical-align: middle;%22%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27;%22%3ESeries 7, Series 65/66 %26amp; Series 24 Licenses required.%3C/span%3E%3C/li%3E%0A%3C/ul%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-bottom: 9.0pt; line-height: normal; background: white; vertical-align: middle;%22%3E%3Cspan style=%22font-size: 10.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27; color: black;%22%3E%26nbsp;%3C/span%3E%3C/p%3E%0A%3Cp class=%22MsoNormal%22 style=%22margin-bottom: 9.0pt; line-height: normal; background: white; vertical-align: middle;%22%3E%3Cstrong%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27; color: black;%22%3EEssential Duties and Responsibilities:%3C/span%3E%3C/strong%3E%3C/p%3E%0A%3Cul type=%22disc%22%3E%0A%3Cli class=%22MsoNormal%22 style=%22color: black; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; line-height: normal; mso-list: l0 level1 lfo2; tab-stops: list .5in; background: white; vertical-align: middle;%22%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27;%22%3EConducts review of advertising material to ensure compliance with applicable industry rules (i.e. State, FINRA, %26amp; SEC) and firm policies and procedures.%3C/span%3E%3C/li%3E%0A%3Cli class=%22MsoNormal%22 style=%22color: black; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; line-height: normal; mso-list: l0 level1 lfo2; tab-stops: list .5in; background: white; vertical-align: middle;%22%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27;%22%3EResearches compliance %26amp; supervision issues with respect to advertising material.%3C/span%3E%3C/li%3E%0A%3Cli class=%22MsoNormal%22 style=%22color: black; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; line-height: normal; mso-list: l0 level1 lfo2; tab-stops: list .5in; background: white; vertical-align: middle;%22%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27;%22%3EMonitors and keeps up to date with regulations regarding communications and applies them accordingly.%3C/span%3E%3C/li%3E%0A%3Cli class=%22MsoNormal%22 style=%22color: black; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; line-height: normal; mso-list: l0 level1 lfo2; tab-stops: list .5in; background: white; vertical-align: middle;%22%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27;%22%3EAssists in researching Supervision issues.%3C/span%3E%3C/li%3E%0A%3Cli class=%22MsoNormal%22 style=%22color: black; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; line-height: normal; mso-list: l0 level1 lfo2; tab-stops: list .5in; background: white; vertical-align: middle;%22%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27;%22%3EAssists in developing training programs, including maintaining training records and coordinating training with functions.%3C/span%3E%3C/li%3E%0A%3Cli class=%22MsoNormal%22 style=%22color: black; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; line-height: normal; mso-list: l0 level1 lfo2; tab-stops: list .5in; background: white; vertical-align: middle;%22%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27;%22%3EPrepares and delivers written and oral presentations to business units.%3C/span%3E%3C/li%3E%0A%3Cli class=%22MsoNormal%22 style=%22color: black; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; line-height: normal; mso-list: l0 level1 lfo2; tab-stops: list .5in; background: white; vertical-align: middle;%22%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27;%22%3EMay participate in the formation of policies related to compliance.%3C/span%3E%3C/li%3E%0A%3Cli class=%22MsoNormal%22 style=%22color: black; mso-margin-top-alt: auto; mso-margin-bottom-alt: auto; line-height: normal; mso-list: l0 level1 lfo2; tab-stops: list .5in; background: white; vertical-align: middle;%22%3E%3Cspan style=%22font-size: 12.0pt; font-family: %27Arial%27,sans-serif; mso-fareast-font-family: %27Times New Roman%27;%22%3EPerforms other duties and responsibilities as assigned.%3C/span%3E%3C/li%3E%0A%3C/ul%3E

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:

• 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 and 66
• 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.

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