Senior Advisor, Banking & Lending Supervision

100 Raymond James & Associates, Inc.; Saint Petersburg (FL); Hybrid; USD 120,000 - 190,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

Life insurance

Disability benefits

Retirement plan

Paid time off

Parental leave

Job summary

Raymond James is seeking a Registered Principal specialized in supervision of margin lending and securities-based lending to guide Financial Advisors and management through complex scenarios with sound judgment. The role emphasizes risk-aware oversight, collaboration with Compliance and Risk, and a coaching approach for growth.

Based in the St. Petersburg, Florida region, this hybrid opportunity supports investor protection and client-focused growth within a leading diversified financial

Qualifications

• Bachelor’s degree in related discipline with 3+ years in supervision or financial services.
• Ability to obtain required licenses within timeframe.
• Strong understanding of banking, lending and securities regulations.

Responsibilities

• Investigate complex margin and securities-based lending activities.
• Review client borrowing and collateral arrangements.
• Interpret regulatory requirements and identify potential risks.
• Influence business outcomes and shape supervisory practices.
• Collaborate with Financial Advisors, Branch Management, Compliance and Risk.

Skills

Regulatory knowledge

Risk identification

Communication

Data analysis

Collaboration

Supervisory experience

Education

Bachelor's degree

Series 7, 9, 10, 63 licenses

SIE license requirement

Tools

Licenses/Regulatory certifications

Job description

Raymond James is seeking a Registered Principal specialized in supervision of margin lending and securities-based lending to guide Financial Advisors and management through complex scenarios with sound judgment. The role emphasizes risk-aware oversight, collaboration with Compliance and Risk, and a coaching approach for growth.

Based in the St. Petersburg, Florida region, this hybrid opportunity supports investor protection and client-focused growth within a leading diversified financial