Advertising Review & Compliance Manager

Raymond James; Saint Petersburg (FL); Hybrid; USD 110,000 - 160,000; Full time

Job summary

Raymond James in Saint Petersburg, FL is seeking a Manager, Supervision – Advertising Review to lead a team responsible for reviewing advertising and other communications across the firm. You will coach associates, collaborate with Financial Advisors and business partners to ensure regulatory compliance while delivering a positive advisor experience.

You will shape supervisory processes, drive efficiency, and develop training to strengthen standards and consistency across the organization in a

Qualifications

• Bachelor's degree in a related field.
• Minimum six years of experience in Supervision or financial services.
• FINRA Series 7, 24, and 66 licenses required for the assigned functional area.
• Knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, and applicable ERISA and Department of Labor requirements.

Responsibilities

• Lead and develop a talented team of supervisory reviewers.
• Partner with Financial Advisors, branch leadership, Marketing, Compliance, Legal to navigate advertising requirements.
• Apply regulatory knowledge to complex or unique advertising scenarios.
• Oversee advertising reviews to ensure alignment with regulatory requirements and firm policies.
• Drive consistency and efficiency by improving workflows and processes.
• Contribute to strategic initiatives, technology enhancements, and policy development.
• Educate and influence through training and communicating regulatory expectations.
• Collaborate across the organization to resolve escalations and address risks.
• Manage team performance and priorities, including hiring and development.

Skills

Leadership

Coaching

Regulatory interpretation

Communication

Cross-functional collaboration

Education

Bachelor's degree in related field

FINRA Series 7, 24, 66 licenses

Knowledge of Investment Company Act/Advisers Act; ERISA/DOL

Job description

Raymond James in Saint Petersburg, FL is seeking a Manager, Supervision – Advertising Review to lead a team responsible for reviewing advertising and other communications across the firm. You will coach associates, collaborate with Financial Advisors and business partners to ensure regulatory compliance while delivering a positive advisor experience.

You will shape supervisory processes, drive efficiency, and develop training to strengthen standards and consistency across the organization in a