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Senior Advisor, Supervision- Advertising Review

Raymond James

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Location:
United States , Saint Petersburg

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Category:
Finance

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Contract Type:
Not provided

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Salary:

Not provided
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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

Additional Information:

Job Posted:
March 11, 2026

Employment Type:
Fulltime
Work Type:
Hybrid work
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