Senior Associate, Supervision - Onboarding, OBA Reviews - Req. 1901808
Job Summary & Responsibilities:
Raymond James Financial Private Client Group is hiring a Senior Associate Supervisor to conduct ongoing reviews and ensure the firm and all associates are adhering to regulations and limiting firm liability.
Functional areas may 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, and outside activities.
• 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.
• 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.
Knowledge, Skills, and Abilities:
• Company’s working structure, policies, mission, and strategies.
• General office practices, procedures, and methods.
• 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.
• Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels.
• 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, sales management, operations, or compliance.
Any equivalent combination of experience, education, and/or training approved by Human Resources.
Series 7, 9/10 or equivalent preferred
Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
Travel Required: 0%
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