Advertising Compliance & Supervision Lead

Raymond James & Associates; Saint Petersburg (FL); On-site; USD 120,000 - 160,000; Full time

Job summary

Raymond James & Associates is seeking a Manager, Supervision - Advertising Review in Saint Petersburg, FL to lead a team that reviews advertising, social media, and other communications for regulatory compliance and firm policy alignment.

You will partner with Financial Advisors and business leaders to navigate complex situations, drive efficiency, and ensure high-quality supervisory decisions while maintaining strong supervisory standards.

Qualifications

• Proven ability to lead and develop teams in a regulatory environment.
• Strong understanding of advertising regulations for financial services.
• Experience translating complex rules into practical guidance.

Responsibilities

• Lead and develop a talented team. Provide coaching, guidance, and ongoing feedback to help associates grow, make sound decisions, and deliver high-quality supervisory reviews.
• Be a trusted resource. Partner with Financial Advisors, branch leadership, Marketing, Compliance, Legal, and other business partners to navigate advertising and communications requirements.
• Navigate the gray areas. Apply regulatory knowledge and sound judgment to complex or unique advertising scenarios where the answer isn’t always black and white.
• Oversee advertising reviews. Guide the review of advisor-created advertising, social media, and other communications to ensure alignment with regulatory requirements and firm policies.
• Drive consistency and efficiency. Identify opportunities to improve workflows, streamline processes, and promote consistent supervisory decisions without compromising regulatory standards.
• Help shape the future of Supervision. Contribute to strategic initiatives, technology enhancements, policy development, and other projects designed to modernize our supervisory approach.
• Educate and influence. Develop and deliver training, communicate regulatory expectations, and help business partners better understand advertising requirements.
• Collaborate across the organization. Work closely with Supervision leadership and other departments to resolve escalations, identify emerging risks, and develop practical solutions.
• Manage team performance and priorities. Oversee daily workloads, evaluate performance, identify development opportunities, and support hiring and other people-management responsibilities.

Skills

People management

Regulatory knowledge

Cross-functional collaboration

Coaching

Education

Bachelor’s degree in related field

FINRA Series 7, 24, 66 licenses

Knowledge of securities regulation

Job description

Raymond James & Associates is seeking a Manager, Supervision - Advertising Review in Saint Petersburg, FL to lead a team that reviews advertising, social media, and other communications for regulatory compliance and firm policy alignment.

You will partner with Financial Advisors and business leaders to navigate complex situations, drive efficiency, and ensure high-quality supervisory decisions while maintaining strong supervisory standards.