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Senior Advisor, Supervision - Onboarding - Req. 1901219


Description


Location preference for this role will be at our St. Petersburg, FL Headquarters.  Experienced Supervision & Compliance candidates, with active FINRA Series 7, 9/10 licensure in good standing, may be considered for other locations and remoting.

 

Job Summary & Responsibilities:

Raymond James Financial Private Client Group is hiring a Supervisor to conduct ongoing reviews and ensure the firm and all associates are adhering to regulations and limiting firm liability.

 

Functional areas include:

  • Transitions: provide guidance to new Financial Advisors and other staff to ensure adherence to regulation and firm policy and procedures. 
  • Outside Business Activity: conduct ongoing reviews and ensure the firm and all associates are adhering to SEC regulations and limiting firm liability.
  • Outside Brokerage Accounts: conduct review of employee personal trading activities, as well as account holder familial/beneficiary relationships.
  • Conflicts of Interest: detect and prevent possible employee conflicts of interest.
  • Licensing & Registration: ensure appropriate account registrations among employee and employee-related accounts.
  • Essential Duties and Responsibilities:
  • Executes the plan of supervision for transitioning financial advisors and other staff to Raymond James including onboarding and continuous monitoring of conflicts of interest, state registrations, outside activities, and client account opening.  
  • Proactively ensures compliance with applicable industry rules (State, FINRA & SEC) and platform policies and procedures as they apply to transitioning financial advisors and other staff. 
  • Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise 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 securities/advisory regulations and applies them accordingly.
  • Interprets, applies and recommends changes to organizational policies and procedures.
  • May consult independently with staff and 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.
  • May assist new OSJ branch managers to assume their duties upon affiliation with the business platform through the training of new managers on all daily branch sales supervision activities.
  • Performs other duties and responsibilities as assigned.

Qualifications


Knowledge, Skills, and Abilities:

Knowledge of:

  • 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 reports, electronic communication, spreadsheets, and databases (E.g., Microsoft Office).
  • Detail orientation to ensure firm adherence to policy & procedures. 
  • Utilizing business-appropriate phone skills.
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 as their sales supervisor and 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 plus (3+) years of experience in supervision, sales management, operations, or compliance.
~or~
  • Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
  • SIE required provided that an exemption or grandfathering cannot be applied.
  • FINRA Series 7, 24 or 9/10 (or equivalent).
  • Ability to obtain additional licenses within designated timeframe.

Travel Required:  Up to 5%