Senior Advisor - Banking & Lending Supervision

Raymond James, Inc.; Town of Florida (NY); Hybrid; USD 110,000 - 150,000; Full time

Benefits offered by this job

Benefits package including medical, -

Retirement savings plans

Parental leave

Job summary

Raymond James, Inc. is seeking a Senior Advisor, Supervision - Banking & Lending in Saint Petersburg, FL. You will supervise margin lending and SBL activities, review client borrowing and collateral arrangements, and ensure regulatory compliance to protect investors while enabling growth.

The role emphasizes critical thinking, sound judgment, and collaboration with advisors, compliance, and risk teams in a hybrid work environment with <25% travel.

Qualifications

• Bachelor’s degree in a related discipline and at least 3 years of experience in Supervision/financial services.
• Active licenses: Series 7, 9, 10 and 63; SIE with possible exemption; Series 24 may be used instead of 9 and 10.
• Strong analytical, regulatory, and communication skills; able to coach and influence advisors.
• Hybrid work style with travel less than 25%.

Responsibilities

• Investigate complex margin and securities-based lending activities and relationships.
• Review client borrowing and collateral arrangements for regulatory compliance.
• Interpret regulatory requirements and identify potential risks.
• Influence business outcomes and shape supervisory practices for investor protection.

Skills

Regulatory knowledge

Risk assessment

Data analysis

Communication

Coaching/mentoring

Education

Bachelor’s degree in related discipline

Tools

SIE

Series 7

Series 9

Series 10

Series 63

Series 24

Job description

Raymond James, Inc. is seeking a Senior Advisor, Supervision - Banking & Lending in Saint Petersburg, FL. You will supervise margin lending and SBL activities, review client borrowing and collateral arrangements, and ensure regulatory compliance to protect investors while enabling growth.

The role emphasizes critical thinking, sound judgment, and collaboration with advisors, compliance, and risk teams in a hybrid work environment with <25% travel.