Advisor, Supervision- Advertising Review

Job Description Summary

Job Description

Our ideal contributor will:

• Serve as a trusted business partner to our Financial Advisor teams by providing expertise with financial services related supervision and compliance issues.

• Have confidence in making recommendations based on research and analysis conducted by the Supervision Advisor.

• Maintain frequent contact and establish positive relationships with our field offices via phone and email through reactive and proactive measures.

• Act as the go-to supervision partner for technical issues ongoing training and all supervision related questions and concerns from the investment teams as well as internal support departments.

Essential Duties and Responsibilities:

• Conducts review of advertising material to ensure compliance with applicable industry rules (i.e. State FINRA & SEC) and firm policies and procedures.

• Researches compliance & supervision issues with respect to advertising material.

• 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). Familiarity/facility with RJ and its systems is preferable.
Companys working structure policies mission and strategies.
General office practices procedures and methods.
Suitability and other compliance issues involved with branch manager/FA trading activity.

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:

Bachelors 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 66

• Series 65 and 63 can be obtained instead of 66

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

Education

Work Experience

Certifications

Travel

Workstyle

The total compensation for this position includes base salary or wages and may include components such as additional compensation (cash or equity) discretionary bonuses or commissions. This position is eligible for a benefits package that may include medical dental and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation holidays and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered visit .

At Raymond James our associates use five guiding behaviors (Develop Collaborate Decide Deliver Improve) to deliver on the firms 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.