Senior Advisor – Dispute Resolution & Risk

Raymond James; Memphis (TN); Hybrid; USD 120,000 - 160,000; Full time

Benefits offered by this job

Benefits package

Hybrid work environment

Paid time off

Job summary

Raymond James is seeking a Senior Advisor, Supervision - Dispute Resolution to help evaluate, investigate, and resolve client complaints, regulatory inquiries, and other risk factors across the firm. The role requires strong analytical skills, sound judgment, and the ability to manage complex matters with independence.

You will collaborate with Financial Advisors, Branch Managers, Compliance, Legal, Risk Management, and other partners to assess concerns, determine resolutions, and improve risk

Qualifications

• Bachelor's degree in a related discipline and a minimum of three (3) years of Supervision and/or financial services industry experience; or an equivalent combination of education, training, and experience.
• Strong understanding of supervision, securities industry regulations, compliance, banking and financial services operations, and retail activity oversight.
• Experience handling complex investigations, regulatory inquiries, or supervisory matters preferred.

Responsibilities

• Investigate client concerns, grievances, complaints, and regulatory inquiries.
• Analyze account activity, communications, documentation, and related records to assess potential risk and determine appropriate resolution strategies.
• Identify potential supervisory, regulatory, litigation, and reputational risks to the firm.
• Contribute to and lead discussions regarding regulatory reporting obligations, including Form U4 amendments and settlement reporting requirements.
• Apply knowledge of FINRA, SEC, state regulatory requirements, and firm policies when evaluating matters and making recommendations.
• Maintain awareness of industry developments and evolving regulatory expectations.
• Escalate significant concerns appropriately and provide recommendations for resolution and risk mitigation.
• Serve as a liaison between Supervision, Divisional Management, Sales & Supervision, Compliance, Legal, and other stakeholders.

Skills

Analytical thinking

Judgment

Written communication

Verbal communication

Presentation skills

Relationship building

Attention to detail

Adaptability

Education

Bachelor's degree in a related discipline

Job description

Raymond James is seeking a Senior Advisor, Supervision - Dispute Resolution to help evaluate, investigate, and resolve client complaints, regulatory inquiries, and other risk factors across the firm. The role requires strong analytical skills, sound judgment, and the ability to manage complex matters with independence.

You will collaborate with Financial Advisors, Branch Managers, Compliance, Legal, Risk Management, and other partners to assess concerns, determine resolutions, and improve risk