Senior Advisor, Branch Manager Supervisory Principal

130 Raymond James Financial Services, Inc.; Colorado; Hybrid; USD 75,000 - 90,000; Full time

Benefits offered by this job

Benefits package

Paid time off

Parental leave

Job summary

Raymond James is seeking a Senior Advisor, Supervisory Solutions to supervise client accounts, review complex activity, and guide advisors and branch leadership through regulatory requirements. The role emphasizes risk management, sound judgment, and clear communication in a client-first environment.

The position supports advisors, branch managers, and business partners, with emphasis on identifying emerging risks, applying firm policies, and ensuring compliance across supervisory reviews and

Qualifications

• Bachelor's degree(s) required or equivalent experience.
• Experience in financial services or supervision.
• Licensing requirements may apply within a defined timeframe.

Responsibilities

• Perform supervisory reviews and approvals of client accounts, transactions, and documentation requiring oversight.
• Provide supervisory guidance to branch managers and financial advisors.
• Research and resolve complex account, suitability, and regulatory matters.
• Monitor supervisory systems to identify unusual activity or risks.
• Communicate regulatory developments and policy changes to advisors and staff.

Skills

Regulatory knowledge

Risk management

Financial services

Analytical thinking

Education

Bachelor's degree in Accounting

Bachelor's degree in Business Administration

Job description

Job Description Summary Thousands of advisors and branch professionals rely on strong supervision, sound judgment, and thoughtful guidance to serve clients with confidence. We are looking for a Senior Advisor, Supervisory Solutions to join our team. This role is for a professional who enjoys solving complex problems, navigating regulatory requirements, and partnering with advisors and branch leadership to manage risk while supporting business growth. You will review activity that requires supervisory oversight, identify emerging concerns, provide guidance on firm and regulatory requirements, and serve as a trusted resource to advisors, branch managers, and business partners. The work requires strong judgment. The regulations evolve. The questions are rarely identical. The impact is real.

Job Description

You Might Be a Great Fit If You

• Remain calm and objective when addressing complex supervisory matters
• Balance risk management with practical business solutions
• Ask thoughtful questions and follow the facts
• Communicate difficult messages with professionalism and credibility
• Build trusted relationships across multiple business partners
• Enjoy interpreting regulations and translating them into actionable guidance
• Can identify patterns, trends, and emerging risks before they become larger issues
• Take ownership and work independently while collaborating effectively with others
• View every supervisory review as an opportunity to protect clients, advisors, and the firm

What You'll Do

• Perform supervisory reviews and approvals of client accounts, transactions, and documentation requiring oversight
• Provide supervisory support for RJFS producing branch managers as well as for financial advisors, and branch associates engaged with Supervisory Solutions
• Research and resolve complex account, suitability, and regulatory matters
• Monitor supervisory systems and reports to identify unusual activity, trends, or potential risks
• Escalate concerns appropriately and partner with supervision leadership and business stakeholders to achieve resolution
• Interpret and apply firm policies, industry regulations, and supervisory standards
• Help educate and guide advisors and branch personnel on regulatory developments, supervision practices, and policy changes
• Collaborate with field supervision, branch leadership, compliance, legal, and operational partners
• Recommend process improvements designed to strengthen supervisory effectiveness and risk management
• Stay informed on changes affecting the securities and advisory industry

What Success Looks Like

• Risks are identified early and addressed appropriately
• Advisors receive timely, practical, and well-reasoned guidance
• Regulatory obligations are met with consistency and professionalism
• Business partners view you as a trusted supervisory resource
• Complex issues are resolved through sound analysis, collaboration, and judgment
• Clients, advisors, and the firm are better protected because of your work

Educational/Previous Experience Requirements:

• Bachelor's degree (B.A.) from four-year college or university, and a minimum of three (3) years' experience in a financial services firm / supervision ~or~
• An equivalent combination of experience, education, and/or training as approved by Human Resources.

Licenses/Certifications:

• Series 7, 9/10 or 24, 66 or 65/63 required or the ability to obtain within an established timeframe.

Why This Role Matters

Strong supervision is more than reviewing transactions and policies. It is helping advisors navigate complexity, protecting client interests, identifying risk before it escalates, and ensuring the integrity of our business.

Education Bachelor's: Accounting, Bachelor's: Business Administration Work Experience Certifications Salary Range $75,000.00-$90,000.00 Travel Less than 25% Workstyle Remote

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.

#LI-AF1

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.

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.