Senior Advisor, Supervision- Advertising Review Job at Raymond James (Saint Petersburg)

Job Description

Raymond James is hiring a Senior Advisor, Supervision, to complete ongoing functional reviews and provide advanced supervision support to assigned teams, focusing specifically on the policies and procedures required by applicable regulators for broker-dealer advertising and marketing material which may include social media outlets.

Job Responsibility

Conducts review of advertising material to ensure compliance with applicable industry rules 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

Requirements

Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) years of Compliance or Supervision experience
Series 7, Series 65/66 & Series 24 Licenses required
Knowledge of rules and regulations of the SEC, FINRA, and state securities regulatory agencies
Knowledge of fundamental investment concepts, practices and procedures used in the securities industry
Knowledge of principles of banking and finance and securities industry operations
Knowledge of financial markets and products
Skill in integrating and aligning supervision processes and procedures with business processes
Skill in identifying and implementing controls and quality assurance processes
Skill in reviewing materials for compliance & supervision with rules and regulations
Skill in critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies
Skill in developing training programs
Skill in gathering information to prepare and deliver written and oral presentations
Skill in investigating relevant irregularities
Skill in making rule-based and analytical decisions
Skill in operating standard office equipment and using required software applications
Skill in operating various social media outlets
Ability to partner with other functional areas to accomplish objectives
Ability to facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed
Ability to gather information, identify linkages and trends and apply findings to assignments
Ability to interpret and apply securities and/or banking regulations and identify and recommends policy and procedural changes as appropriate
Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
Ability to use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels
Ability to work independently as well as collaboratively within a team environment
Ability to provide a high level of customer service
Ability to establish and maintain effective working relationships at all levels of the organization
Ability to maintain confidentiality
Ability to independently manage and complete multiple projects and tasks
work independently with minimal direct supervision

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Senior Advisor, Supervision- Advertising Review

Job Description

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