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Raymond James · 1 day ago

Senior Advisor, Supervision- Supervisory Solutions

Southfield, Michigan - United States

Full-time

Hybrid

Mid, Senior Level

3+ years exp

Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL, providing financial services to individuals, corporations, and municipalities. The Senior Advisor in Supervisory Solutions conducts supervisory oversight activities to ensure adherence to firm and regulatory policies, while managing day-to-day activities of financial advisors and branch associates.

BankingFinancial ServicesInformation TechnologyInsuranceWealth Management

Growth Opportunities

Responsibilities

Conducts supervisory oversight of RJFS branch office locations not currently staffed with a licensed and qualified branch manager to ensure adherence to firm and regulatory policies and procedures

Conducts daily supervisory reviews over advisor activities in their assigned branches with limited guidance. This includes the review of new accounts, supervisory alerts, money movement and client complaints

Analyzes transaction activity to identify potential sales practice concerns and follow-up with appropriate individual(s) for explanations and actions

Reviews escalations, exceptions and other requests at hand to determine needed next steps and plan for proper resolution

Escalates supervisory concerns to division supervision or business partners and works in partnership to resolve outstanding issues

Provides ongoing education to branch associates regarding policy and regulatory changes

Assists HO Branch manager in managing complicated and/or escalated issues and acts as an escalation point for product COEs

Assists in regulatory, branch exam and dispute resolution items as needed

Perform reviews of client accounts and documents submitted by the branch

Escalates concerns to senior management and may propose new policies or procedures regarding risk, adhering to compliance and operational risk controls in accordance with company and regulatory standards

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

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

Interprets, applies, and recommends changes to organizational policies and procedures while adhering to supervisory and operational risk controls in accordance with company and regulatory standards

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

Monitors Supervisory Center alerts and handles any necessary follow-up

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

Identify needs of the team and find solutions to complex issues

Communicates with the field regarding regulatory rules and firm policy changes

Performs other duties and responsibilities as assigned

Qualification

Supervisory oversightRegulatory complianceFinancial services experienceCritical thinkingInvestment conceptsPresentation skillsInterpersonal communicationCustomer serviceStress managementProblem-solvingLeadershipTime managementTeam collaborationAdaptabilityAttention to detail

Required

Bachelor's degree (B.A.) from four-year college or university, and a minimum of three (3) years' experience in a financial services firm / supervision

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

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