Senior Advisor, Supervision – Communications Review (Remote)
Full Time
United States
Posted
Job description
The Communications Review Team consists of the advertising, hard copy correspondence review, social media and e-mail review teams. The senior advisor for this team will administer and analyze various communication reviews and content to detect concerns and ensure compliance with regulatory expectations and firm policies and procedures.
May train and mentor new or less experienced team members. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity and provides comprehensive solutions to complex problems. Leads defined work or projects of moderate scope and complexity.
Essential Duties and Responsibilities:
- Conducts compliance review of communications through the use of various reports and systems. Pro-actively ensures compliance with applicable industry rules (i.e. State, FINRA & SEC) and platform policies and procedures as they apply to communication review.
- Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise with branch office managers and work 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.
- Interprets, applies and recommends changes to organizational policies and procedures.
- May implement and enforce policies and procedures for all business platform branch office locations not currently staffed with a licensed and qualified branch manager by serving at the designated manager of these OSJ locations until properly staffed. Consults independently with branch managers and recommends actions to ensure compliance with existing rules and regulations as well as prevent potential liability.
- May consult independently with branch managers and recommend actions to ensure compliance with existing rules and regulations as well as prevent potential liability.
- Uses financial data and performance indicators to propose and/or assist with establishing control mechanisms and other improvement initiatives. Identifies trends and assists with implementing corrective action as necessary.
- May assist new OSJ branch managers to assume their duties upon affiliation with the business platform through the following activities:
- Assists in researching supervision issues.
- Performs other duties and responsibilities as assigned.
Qualifications
Knowledge, Skills, and Abilities:
Knowledge of:
Skill in:
Ability to:
Educational/Previous Experience Requirements:
Licenses/Certifications:
o Required to have a Series 7, 24 and 66
o Series 65 and 63 can be obtained instead of 66
o Correspondence only: Series 9 and 10 can be used instead of the 24
Knowledge, Skills, and Abilities:
Knowledge of:
Company’s working structure, policies, mission, and strategies.- General office practices, procedures, and methods.
- Concepts, practices and procedures of securities industry and/or banking compliance, including suitability and other compliance issues involved with retail activity.
- Principles of banking, finance, and securities industry operations
- Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC) sufficient to perform the functions of this job.
Skill in:
Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.- Detail orientation to ensure the regulatory liability is limited, without impairing workflow.
- Utilizing business-appropriate phone manners.
Ability to:
Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.- 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.
- Work effectively with Financial Advisors as their sales supervisor and enforce company policies and procedures as necessary.
- 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 and a minimum of five (5) years of experience in Supervision and/or the financial services industry.
- An equivalent combination of experience, education, and/or training.
Licenses/Certifications:
Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
o Required to have a Series 7, 24 and 66
o Series 65 and 63 can be obtained instead of 66
o Correspondence only: Series 9 and 10 can be used instead of the 24
- Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
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
Job Compliance
Primary Location United States
Organization Supervision
Schedule Full-time
Shift Day Job
Travel Yes, 10 % of the Time
Salary Range: CO, NY, CA, WA (based on Education, Work Experience, and Geographic Location) $80,000 - $90,000
Eligible for Discretionary Bonus Yes
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