Advisor, Supervision - E-Comm Review

Job Description Summary

Job Description

Essential Duties and Responsibilities:

• Conducts supervision review of communications, through the use of various reports and systems.

• Interfaces with divisional leadership 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.

• Monitors and keeps up to date with regulations regarding communications 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).

• Company’s working structure, policies, mission, and strategies.

• General office practices, procedures, and methods.

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 65, 63. Series 66 can be obtained instead of 63/65.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Education

Work Experience

Certifications

Salary Range

Travel

Workstyle

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.