Senior Advisor, Supervision Trade Review

Job Description

Job Summary:

Under limited supervision, the Senior Advisor uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to administer and analyze complex suitability reviews to detect trends, trading patterns and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity and provides comprehensive solutions to complex problems.

Essential Duties And Responsibilities

• Monitors the sales practice activities of branch managers through the use of various reports and systems.
• Pro-actively ensures compliance with applicable industry rules (i.e. State, FINRA & SEC) and platform policies and procedures as they apply to account trading activity of clients’ accounts by monitoring financial advisor activity, reporting findings and managing concerns in a professional and educational manner.
• Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise with branch office managers and work together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts of the financial advisors.
• Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.
• Interprets, applies and recommends changes to organizational policies and procedures.
• May consult independently with branch managers and financial advisors to recommend actions to ensure compliance with existing rules and regulations as well as prevent potential liability.
• Uses financial data and performance indicators to propose and/or assist with establishing control mechanisms and other improvement initiatives. Identifies trends and assists with implementing corrective action as necessary.
• Reviewing platform policies and procedures related to branch office management.
• Performs other duties and responsibilities as assigned.
  
  

Knowledge Of

Knowledge, Skills, and Abilities:

• Company’s working structure, policies, mission, and strategies.
• General office practices, procedures, and methods.
• Concepts, practices and procedures of securities industry and/or banking compliance, including suitability and other compliance issues involved with retail activity.
• Principles of banking, finance, and securities industry operations
• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC) sufficient to perform the functions of this job.
  
  

Skill In

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Detail orientation to ensure the regulatory liability is limited, without impairing workflow.
• Utilizing business-appropriate phone manners.
  
  

Ability To

• Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.
• 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.
• Work effectively with Financial Advisors to enforce company policies and procedures as necessary.
• Establish and communicate clear directions and priorities.
• Provide a high level of customer service.
  
  

Educational/Previous Experience Requirements

• Bachelor’s degree (B.A) in a related discipline and a minimum of three (3) years of experience in Supervision and/or the financial services industry.
  
  

~or~

• An equivalent combination of experience, education, and/or training.
  
  

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, 9, 10 and 63
• Series 24, 53 and 4 can be used instead of the 9 and 10
• Series 66 can be used instead of 63
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
  
  

Education

Work Experience

Certifications

Salary Range

$80,000.00-$0.00

Travel

Less than 25%

Workstyle

Remote

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

We Expect Our Associates At All Levels To

• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm
  
  

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.