Manager, Supervision – Advertising Review

Raymond James; Southfield (MI); Hybrid; USD 90,000 - 130,000; Full time

Benefits offered by this job

Benefits package

Job summary

Raymond James seeks a Manager, Supervision – Advertising Review to lead a team reviewing advertising and communications. You’ll partner with Advisors, Marketing, Compliance, and Legal to apply regulations and ensure firm policy alignment while improving processes.

You will coach associates, drive consistent decisions, and shape the future of supervision with strategic initiatives and training programs. Hybrid work environment.

Qualifications

• Bachelor's degree in a related field with 6+ years in supervision or financial services.
• FINRA Series 7, 24, and 66 licenses required for the assigned area.
• Knowledge of Investment Company Act of 1940 and ERISA requirements.
• Licenses or certifications in securities regulation are preferred.

Responsibilities

• Lead and develop a high-performing supervision team with coaching and feedback.
• Partner with Financial Advisors, branch leadership, Marketing, Compliance and Legal.
• Apply regulatory knowledge to complex advertising scenarios with sound judgment.
• Oversee advertising reviews to ensure regulatory alignment and firm policy.
• Identify workflow improvements to increase efficiency and consistency.
• Deliver training and educate partners on advertising requirements.
• Collaborate across departments to resolve escalations and manage risks.
• Manage daily workloads, performance and hiring needs.

Skills

Leadership

Coaching

Regulatory knowledge

Communication

Strategic thinking

Collaboration

Problem solving

Education

Accounting degree

Business Administration degree

Bachelor's degree in related field

Tools

FINRA Licenses (Series 7/24/66)

Job description

Job Description

Are you someone who enjoys solving complex problems, developing people, and finding the right balance between managing risk and supporting the business? If so, this could be a great opportunity for you!

We're looking for a Manager, Supervision – Advertising Review to help lead a team responsible for reviewing advertising, social media, and other communications across Raymond James.

In this role, you'll do more than interpret regulations. You'll help shape how we apply them, partner with Financial Advisors and business leaders to navigate complex situations, and identify opportunities to make our supervisory processes more efficient and effective.

You’ll play an important role in developing a high-performing team, promoting consistent regulatory decisions, and helping Raymond James deliver a positive advisor experience while maintaining strong supervisory standards.

What You'll Do

• 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.

What We're Looking For

We're looking for a collaborative leader who can think critically, communicate effectively, and approach complex regulatory challenges with both confidence and perspective.

You’ll Be Successful In This Role If You

• Have a strong understanding of FINRA Rule 2210, SEC advertising requirements, and other regulations applicable to financial services communications.
• Can interpret complex regulatory requirements and translate them into clear, practical guidance.
• Enjoy coaching others and creating an environment where associates feel supported, challenged, and empowered to make decisions.
• Are comfortable navigating ambiguity, balancing competing priorities, and making thoughtful, risk-based decisions.
• Build strong relationships and can effectively communicate with Financial Advisors, senior leaders, and cross-functional partners.
• Have an eye for process improvement and enjoy finding smarter, more efficient ways to work.
• Can manage multiple priorities and complex projects while maintaining attention to detail and a strong commitment to quality.
• Bring a service-oriented mindset and understand the importance of balancing regulatory obligations with the advisor experience.

Education And Experience

• Bachelor's degree in a related field and a minimum of six years of experience in Supervision and/or the financial services industry; or an equivalent combination of education, experience, and training approved by Human Resources.
• FINRA Series 7, 24, and 66 licenses required for the assigned functional area.
• Additional licenses or certifications demonstrating expertise in securities regulation and related industry concepts are preferred.
• Knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, and applicable ERISA and Department of Labor requirements.

Why This Role Matters

Advertising Supervision sits at the intersection of regulatory risk, advisor experience, and an evolving communications landscape. As new technologies, marketing strategies, and communication channels continue to emerge, our approach to supervision must evolve alongside them.

This role offers the opportunity to influence that evolution, develop talented associates, and help shape a supervisory environment that is both effective and practical for the business.

Education

Bachelor’s - Completed: Accounting, Bachelor’s - Completed: Business Administration

Work Experience

General Experience - 6 to 10 years, Manager Experience - 3 to 6 years

Travel

Less than 25%

Workstyle

Hybrid

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. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and 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.

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

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.