Homeoffice Senior Advisor, Supervision- Supervisory Solutions (Remote Option Available) at Raymond James

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:

Manages the compliance oversight, ensuring adherence to firm and regulatory policies and procedures.  Monitors day-to-day activities of financial advisors and registered sales assistants to ensure compliance with internal policies and procedures, and external regulations.  Oversight activities include but are not limited to trade review, FINRA rule 3010 email review, advertising review, FA/client operational troubleshooting, new account and application review, annuity review, securities receipts review, cash deposit review, and outgoing/LOAs review.  Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with some latitude for un-reviewed actions or decisions.  Uses extensive knowledge and skills obtained through education and experience to identify, research, analyze and resolve complex issues. 

Essential Duties and Responsibilities:

• Responsible for compliance oversight and ensuring adherence to firm and regulatory policies and procedures.

• Performs reviews of client accounts and documents and helps resolves client complaints.

• Educates branch staff associates.

• Reports to senior management with quarterly risk assessments and may propose new policies or procedures regarding risk; adhering to compliance and operational risk controls in accordance with company and regulatory standards.

• Review and analyze compliance monitoring reports and systems for suspicious/unusual patterns and follow-up with appropriate individual(s) for explanations and actions.

• Provide compliance support to bank executives relating to ensure compliance with OCC regulations and act as liaison with OCC and SEC for related matters.

• Coordinates registrations, continuing education, licensing, etc. of branch personnel.

• Oversees daily trading and other office activities.

• Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise with branch offices and work together with them to address these concerns as well as to resolve any conflicts that may arise to the client accounts of branch managers

• Develops, implements and enforces policies and procedures for all business platform branch office locations not currently staffed with a licensed and qualified branch manager by serving at the designated manager of these OSJ locations.

• Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.

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

• Communications with the field regarding regulatory rules and firm policy changes.

• Handles all administrative matters in the hiring/termination of FA and their transition in and out of the branches.

• Keeps records of all complaints and ensures all E&Os are filed and responses are completed.

• Monitors SAS alerts and handles any necessary follow-up. 

• Researches and resolves complex problems relating to clients accounts and inquiries

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

• Comprehensive understanding of company policies and procedures and industry rules and regulations.

• Investment concepts, practices and procedures used in the securities industry.

• Financial markets and products. 

Skill in:

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

• Preparing and delivering clear, effective, and professional presentations.

• Identifies the needs of customers through effective questioning and listening techniques.

• Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.

• Project a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.

• Employ good analytical skills to be able to research and resolve problems.

• Establish and communicate clear directions and priorities.

• Utilize good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel.

• Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes. 

• Effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

• Work independently, under minimal supervision.

Ability to:

 • Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.

• Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes. 

• Project a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.

Educational/Previous Experience Requirements:

 • Bachelor’s degree (B.A.) from four-year college or university, and a minimum of five (5) years’ experience in a financial services firm / supervision

~or~

• An equivalent combination of experience, education, and/or training as approved by Human Resources.

Licenses/Certifications:

• Series 7, 9/10 or 24, 66 or 65/63 is Required