Senior Advisor, Dispute Resolution & Risk

Raymond James & Associates; Saint Petersburg (FL); On-site; USD 110,000 - 160,000; Full time

Job summary

Raymond James & Associates in the United States seeks a Senior Advisor, Supervision – Dispute Resolution to investigate client concerns, regulatory inquiries, and other matters affecting risk and reputation. You will partner with Financial Advisors, Branch Managers, and Compliance to assess risk and determine appropriate resolutions.

The role requires strong analytical thinking, sound judgment, and the ability to manage complex investigations while balancing regulatory obligations with business

Qualifications

• Bachelor's degree and at least three years in supervision or financial services.
• Strong understanding of securities regulations and compliance.
• Experience handling complex investigations preferred.

Responsibilities

• Investigate client concerns, grievances, and regulatory inquiries.
• Analyze account activity, communications, and records to assess risk.
• Identify supervisory, regulatory, litigation, and reputational risks.
• Lead discussions on regulatory reporting obligations.
• Provide guidance on supervisory expectations and firm policies.

Skills

Investigations

Regulatory knowledge

Risk assessment

Communication skills

Mentoring others

Education

Bachelor's degree in related discipline

Tools

FINRA/SEC knowledge

Job description

Raymond James & Associates in the United States seeks a Senior Advisor, Supervision – Dispute Resolution to investigate client concerns, regulatory inquiries, and other matters affecting risk and reputation. You will partner with Financial Advisors, Branch Managers, and Compliance to assess risk and determine appropriate resolutions.

The role requires strong analytical thinking, sound judgment, and the ability to manage complex investigations while balancing regulatory obligations with business