RIA Advisory Supervision & Compliance Analyst

Raymond James; Saint Petersburg (FL); Hybrid; USD 90,000 - 140,000; Full time

Benefits offered by this job

Benefits package

Hybrid work style

Professional development

Job summary

Raymond James in Saint Petersburg, FL, seeks an Advisory Supervision professional to apply judgment and securities knowledge to evaluate advisory and trading activity, identify concerns, and drive appropriate resolutions. You will review client accounts, regulatory filings, and supervisory documentation, collaborating with financial advisors and management to research issues and support practical outcomes.

The role involves independent work, navigating complex situations, and contributing to

Qualifications

• Bachelor’s degree in a related discipline and a minimum of two years of experience in Supervision and/or financial services.
• Licenses: Series 7, 24, and 66 (or equivalent) and SIE requirement; ability to obtain within timeframe.
• Knowledge of Investment Advisers Act, Form ADV, Form CRS, IARD, advisory agreements, disclosures, fiduciary considerations, and RIA supervisory frameworks.
• Understanding supervisory and compliance considerations related to financial advisor and branch-management trading activity.
• Experience with documentation, research, and communicating supervisory findings clearly.

Responsibilities

• Conduct risk-based supervisory reviews using reports and systems to identify trends and potential issues.
• Evaluate trading activity to ensure alignment with accounts’ objectives and supervisory requirements.
• Support oversight of Independent Registered Investment Advisers and Corporate RIA activities.
• Document review results, identify follow-up actions, and track remediation.
• Communicate findings and actions with financial advisors, branch and sales management, and internal partners.
• Research complex supervision and advisory questions to recommend risk-informed solutions.
• Stay current on advisory regulations, firm policies, and evolving supervisory expectations.
• Maintain and enhance supervisory procedures and templates for auditability.
• Lead or contribute to projects improving supervisory practices and documentation.

Skills

Critical thinking

Regulatory knowledge

Written communication

Problem solving

Attention to detail

Interpersonal communication

Education

Bachelor’s degree in related field

Tools

Regulatory reporting systems

Trading review tools

Job description

Raymond James in Saint Petersburg, FL, seeks an Advisory Supervision professional to apply judgment and securities knowledge to evaluate advisory and trading activity, identify concerns, and drive appropriate resolutions. You will review client accounts, regulatory filings, and supervisory documentation, collaborating with financial advisors and management to research issues and support practical outcomes.

The role involves independent work, navigating complex situations, and contributing to