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Raymond James Financial Private Client Group is hiring an Advisor, Supervision to conduct ongoing Correspondence Reviews and ensure the firm and all associates are adhering to SEC regulations and limiting firm liability without hindering business activity. The purpose of this review is to identifying correspondence related issues in incoming/outgoing emails, and escalate the issues for resolution.
Essential Duties and Responsibilities:
Monitors and investigates electronic branch correspondence through the use of various reports and systems.
Pro-actively monitors and ensures discussions pertaining to activities in clients- accounts and activities of financial advisors meet firm requirements and standards.
Communicates findings and manages concerns in a professional manner whether that be written or orally.
Interfaces with senior advisors and management to mitigate supervisory concerns regarding branch office managers/financial advisors and works together to address these concerns.
Performs other duties and responsibilities as assigned.
Qualifications Knowledge, Skills, and Abilities:Knowledge of:
Investments and trading, securities industry regulations, and client suitability (all at a level consistent with FINRA, SEC, and MSRB regulation). Familiarity/facility with Raymond James 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/Financial Advisor trading activity.
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.
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/Financial Advisors.
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 two (2) years of experience in Supervision and/or the financial services industry.
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.
SIE required provided that an exemption or grandfathering cannot be applied.
Required to have a Series 7, 24 and 66
Series 63 and 65 can be used instead of the 66
Series 9 and 10 can be used instead of the 24
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
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Internal Number: 6560181
About Raymond James Financial Incorporated
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