CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Radius Radius 5 miles 15 miles 25 miles 35 miles 50 miles
Go Advisor, Supervision - Annuity Review - Req. 1902639 Description
Job Summary: Under limited supervision, uses specialized knowledge and skills obtained through experience, specialized training or certification to administer and analyze various reviews to detect trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Approves day-to-day trading activity. Some guidance is provided to perform varied work that is somewhat difficult in nature and that requires evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Leads defined work or projects of moderate scope and complexity.
Essential Duties and Responsibilities: - Conducts compliance and suitability reviews, and monitors trading activities, through the use of various reports and systems. - Pro-actively monitors and ensures that trading activities in clients- accounts meet the objectives of those accounts. Reports findings and manages concerns in a professional manner. - Interfaces with sales management and compliance associates to inform them of any supervisory concerns that may arise with branch office managers/FAs and works together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts. - Monitors and keeps up to date with regulations regarding trading activity in client accounts and applies them accordingly. - Assists in researching Supervision issues. - Assists in developing training programs, including maintaining training records and coordinating training with functions. - Prepares and delivers written and oral presentations to business units. - 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. - Knowledge of annuities and insurance products including general understand ing o the f broker dealer interface with insurance carriiers. - Ability to build rapport with branch associates and uses effective communication skills to deliver outcomes of suitability determinations both positive and negative.
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.
- Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe. o SIE required provided that an exemption or grandfathering cannot be applied. o Required to have Series 7, 24 and 66 o Series 9 and 10 can be used as an equivalent to the 24
- State Insurance License in which candidate resides required
- Additional licenses/certifications demonstrating the candidate-s knowledge/expertise in industry regulation and concepts preferred.
Raymond James Guiding Behaviors
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
Share This Job Current Raymond James Employees, click here »
Enter your corporate email address to refer a friend!
Submit Experienced Professionals Students & Recent Grads
SEARCH OUR JOBS
Oklahoma City, Oklahoma
El Paso, Texas
Match Your Skills
Using your LinkedIn profile, find jobs matched to your skills and experience
Internal Number: 6456945
About Raymond James Financial Incorporated
eFinancialCareers is a career site specializing in financial services.