Advertising Review & Compliance Manager

Raymond James Financial, Inc.; Memphis (TN); On-site; USD 100,000 - 140,000; Full time

Job summary

Raymond James Financial, Inc. seeks a Manager, Supervision – Advertising Review to lead a team overseeing advertising reviews, social media, and other communications. You will partner with Financial Advisors and leaders to ensure regulatory alignment while supporting business objectives.

The role emphasizes coaching, strategic process improvements, and developing a high-performing team that delivers consistent supervisory decisions within regulatory standards.

Qualifications

• Bachelor's degree and minimum six years of supervision/financial services experience.
• FINRA Series 7, 24, and 66 licenses required for the assigned functional area.
• Knowledge of the Investment Company Act of 1940, Advisers Act and related ERISA/DOL requirements.

Responsibilities

• Lead and develop a talented team of supervisory staff.
• Partner with Financial Advisors, branch leadership, Marketing, Compliance, Legal and other partners to navigate advertising regulations.
• Apply regulatory knowledge to complex advertising scenarios and provide practical guidance.
• Oversee advertising reviews to ensure regulatory compliance and firm policies.
• Drive process improvements to increase efficiency while maintaining standards.
• Contribute to strategic initiatives, policy development, and technology enhancements in supervision.
• Educate partners on regulatory expectations and promote a compliant advisor experience.
• Collaborate across departments to resolve escalations and manage risks.
• Manage team performance, workloads, and development opportunities.

Skills

Regulatory knowledge

Leadership & coaching

Communication

Regulatory risk assessment

Education

Bachelor's degree

6+ years experience in Supervision/finance

Job description

Raymond James Financial, Inc. seeks a Manager, Supervision – Advertising Review to lead a team overseeing advertising reviews, social media, and other communications. You will partner with Financial Advisors and leaders to ensure regulatory alignment while supporting business objectives.

The role emphasizes coaching, strategic process improvements, and developing a high-performing team that delivers consistent supervisory decisions within regulatory standards.