Senior Advisor, Dispute Resolution & Supervision (Hybrid)
Raymond James
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Benefits offered by this job
Job summary
Raymond James in Memphis seeks a Senior Advisor, Supervision - Dispute Resolution to evaluate, investigate, and resolve client concerns and regulatory inquiries, balancing risk with client needs. You will collaborate with Financial Advisors, Branch Managers, Compliance, Legal, Risk Management, and other partners to determine resolutions and improve risk practices across the Supervision team.
The role may cross-train into Money Movement and Senior & At-Risk Client supervision to meet business
Qualifications
- Bachelor's degree in a related discipline and a minimum of three years in supervision/financial services
- Strong understanding of supervision, securities regulations, compliance, and oversight
- Experience handling complex investigations, regulatory inquiries, or supervisory matters preferred
Responsibilities
- Investigate client concerns, grievances, complaints, and regulatory inquiries.
- Analyze account activity and documentation to assess risk and determine resolutions.
- Identify supervisory, regulatory, litigation, and reputational risks to the firm.
- Provide guidance on supervisory expectations and firm policies.
- Coach and mentor less experienced associates.
- Prepare analyses and recommendations for leadership.
- Collaborate across departments to improve risk management practices.
Skills
Education
Job description
Raymond James in Memphis seeks a Senior Advisor, Supervision - Dispute Resolution to evaluate, investigate, and resolve client concerns and regulatory inquiries, balancing risk with client needs. You will collaborate with Financial Advisors, Branch Managers, Compliance, Legal, Risk Management, and other partners to determine resolutions and improve risk practices across the Supervision team.
The role may cross-train into Money Movement and Senior & At-Risk Client supervision to meet business
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