Advisor, Supervision- Advertising Review

100 Raymond James & Associates, Inc.; Saint Petersburg (FL); On-site; USD 85,000 - 115,000; Full time

Benefits offered by this job

Medical

Dental

Vision

Life insurance

Retirement savings

Paid time off

Job summary

Raymond James in Saint Petersburg, FL, seeks an Advisor, Supervision to provide experienced supervisory guidance over advertising, marketing, and communications. You will review complex materials, research regulatory questions, and help ensure policies and controls keep pace with evolving regulations.

You will partner across departments to resolve escalated matters, assess risk, and help define compliant, practical paths forward while coaching others and maintaining industry knowledge.

Qualifications

• Bachelor’s degree and a minimum of two years of Compliance, Supervision, or relevant financial services experience.
• Series 7, 24, and 63/65 required or the ability to obtain within an established timeframe.
• Knowledge of SEC, FINRA, and state securities rules governing broker-dealer advertising and communications.

Responsibilities

• Serve as a trusted supervision partner to financial advisors on advertising, marketing, social media, and communications-related matters.
• Review complex or escalated advertising and marketing materials using applicable regulations, firm policies and procedures, and sound supervisory judgment.
• Research regulatory and supervisory questions and translate requirements into practical guidance for business partners.
• Develop well-supported recommendations for resolution when matters do not fit existing rules or precedents.
• Coordinate with Supervision, Compliance, Legal, Marketing, and other teams to resolve complex matters.
• Oversee supervision programs for assigned business areas and ensure controls align with activities and risk.
• Identify trends and opportunities to strengthen supervisory practices and training.

Skills

Critical thinking

Regulatory interpretation

Supervisory judgment

Policy communication

Education

Bachelor’s degree (B.A./B.S.)

Job description

Job Description Summary

Complex communications. Evolving regulations. Business partners who need an answer. The Advisor, Supervision helps protect Raymond James clients and the firm by providing experienced supervisory guidance over advertising, marketing, and communications across the organization. This role is for someone who can interpret the rules, understand the business, exercise sound judgment, and find a practical path forward when the answer is not obvious. You will serve as a trusted supervision partner to PCG Branches, Marketing, Home Office departments, and/or other business areas—reviewing complex communications, researching regulatory questions, resolving escalated matters, and helping ensure supervisory programs and controls keep pace with an evolving business and regulatory environment. The role goes beyond reviewing whether something is compliant. You will help teams understand why, identify emerging risks and trends, recommend improvements to policies and processes, and work across the organization to solve problems before they become bigger ones. The work requires technical expertise, curiosity, good judgment, and the confidence to make a decision. Sometimes the answer is straightforward. Sometimes you will be helping define it.

Essential Duties and Responsibilities

• Serve as a trusted supervision partner to financial advisors on advertising, marketing, social media, and communications-related matters.
• Review complex or escalated advertising and marketing materials using applicable regulations, firm policies and procedures, supporting information, and sound supervisory judgment.
• Research regulatory and supervisory questions and translate requirements into practical guidance for business partners.
• Evaluate matters that do not fit neatly within an existing rule, policy, or precedent and develop well-supported recommendations for resolution.
• Partner across Supervision, Compliance, Legal, Marketing, business units, and other internal teams to resolve complex or sensitive matters.
• Oversee and support supervision programs for assigned business areas, helping ensure supervisory processes and controls are appropriately aligned with business activities and risk.
• Identify emerging trends, recurring issues, and opportunities to strengthen supervisory practices, controls, policies, procedures, and training.
• Recommend and help implement changes to supervision programs, policies, procedures, and controls as business practices, technology, and regulatory expectations evolve.
• Provide escalated guidance to supervision associates and business partners and coach or mentor less experienced team members.
• Assess potential regulatory, supervisory, or firm risk and appropriately upscale matters involving potential rule violations or liability.
• Support quality assurance and other controls designed to identify and address potential supervision or compliance concerns.
• Prepare and deliver written recommendations, presentations, training, and other communications to business partners and senior management.
• Support regulatory inquiries or examinations involving assigned areas, including coordinating information and documentation when appropriate.
• Maintain current knowledge of applicable SEC, FINRA, state regulatory requirements, firm policies, industry developments, and emerging communication channels and technologies.
• Take ownership of complex matters from initial question through documented resolution and perform other responsibilities as assigned.

Skill In

Critical thinking and sound supervisory judgment, particularly when regulations, policies, business needs, and facts do not produce an immediately obvious answer. Interpreting advertising and communications requirements and applying them to new, complex, or unusual circumstances. Identifying risk without losing sight of practical business considerations, workflow, and the advisor and client experience. Researching complex regulatory and supervisory issues and developing clear, defensible recommendations. Communicating complex requirements in a way that is understandable, practical, and actionable. Managing competing priorities and independently advancing multiple projects, reviews, and escalated matters. Building productive relationships across Supervision, Compliance, Legal, Marketing, Home Office departments, and other business areas. Identifying trends and translating individual issues into broader improvements to controls, processes, policies, or training. Providing high-quality service without compromising supervisory standards or regulatory requirements.

Ability To Interpret the gray

Apply regulatory requirements, firm policies, precedent, and sound judgment when a matter does not have a simple yes-or-no answer. Explain the why: Communicate supervisory concerns, decisions, required changes, and supporting rationale clearly enough that business partners understand both the answer and the reasoning behind it. Find the path forward: Identify compliant and practical alternatives when the original approach does not work rather than stopping at “no.” See beyond the submission: Recognize when an individual review or question points to a broader risk, control gap, training need, or opportunity to improve a supervisory program. Be the expert in the room: Develop and maintain strong knowledge of advertising and communications regulation, financial products, industry practices, emerging technologies, and firm requirements. Partner without compromising: Build trusted relationships with business partners and work through differing perspectives while maintaining appropriate supervisory standards. Make the call: Gather the relevant facts, assess risk, reach a well-supported conclusion, and recognize when a matter requires additional expertise or escalation. Make supervision better: Challenge processes that no longer make sense, identify opportunities for improvement, and help evolve policies, procedures, controls, technology, and training. Own the outcome: Independently carry complex matters from initial question through resolution, communicate decisions effectively, and ensure appropriate follow-through and documentation. Develop others: Share expertise, provide thoughtful guidance, and coach less experienced associates to strengthen the broader supervision team.

Knowledge Of

SEC, FINRA, and applicable state securities rules and regulations governing broker-dealer advertising, marketing, and communications; financial services supervision and compliance practices, including risk-based supervisory controls; financial markets, investment products, and securities industry operations; advertising, marketing, social media, digital communications, and emerging communication channels within financial services; supervisory policies, procedures, quality assurance practices, and control frameworks.

Educational/Previous Experience Requirements

Bachelor’s degree (B.A./B.S.) and a minimum of two (2) years of Compliance, Supervision, or relevant financial services experience. ~or~ An equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

Series 7, 24, and 63/ 65 or 66 required or the ability to obtain required licenses within an established timeframe. Additional licenses or certifications demonstrating expertise in securities regulation, supervision, advertising, marketing, or related areas are valued.

Qualifications

• Education
• Work Experience
• Certifications
• Travel Less than 25%
• Workstyle Hybrid

Total Compensation

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions.

Benefits Package

• medical
• dental
• vision
• life insurance
• critical illness insurance
• accident insurance
• disability benefits
• retirement savings
• paid time off (including vacation, holidays, and sick leave)
• parental leave

Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

Company Culture and Values

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.

• 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

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive.

The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

About Raymond James

Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF.

Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.