Senior Associate, Supervision- E-Comm Review

Job Description Summary

Assists in conducting internal reviews in order to ensure compliance with outside regulatory requirements and internal policies. Recommends change through presentation of facts and/or legislation. Has knowledge of government laws and regulations affecting the company's business area, and ability to interpret laws and regulations in light of operations.
A Senior Associate, Supervision would be expected to conduct ongoing electronic communications reviews and ensure the firm and 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 communications, and escalate the issues for resolution.

Job Description

 Department Overview:

Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management.

The Supervision department partners closely with the business to proactively mitigate risk. Our department supports business units by managing activity/account reviews, product oversight, escalation/approvals and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the firm while preserving our culture, and adhering to our core values of client first, conservatism, independence and integrity.

At Raymond James, we are putting the power of perspectives into action and building an inclusive and diverse workforce that reflects our commitment to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, and continuing education options.

Job Summary:

A Senior Associate, Supervision would be expected to conduct ongoing electronic communications reviews and ensure the firm and 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 communications, and escalate the issues for resolution.

Essential Duties and Responsibilities:

• Monitors and investigates electronic branch or home office communications 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

• Conducts outreach to monitored staff related to confirmed issues or inquiries

Knowledge, Skills, and Abilities:

Knowledge of:

•  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/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 in retail securities sales, sales management, operations, or compliance.

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications:

• SIE preferred, provided that an exemption or grandfathering cannot be applied.

• Series 7, 66, 24 Required within 18 or a maximum of 24 months of hire, or an agreed upon timeframe with management

Salary Range- $55,000 - $65,000

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

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. 

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