Senior Advisor, Supervision – Annuities and Insurance

Raymond James Financial, Inc.; United States; Remote; USD 80,000 - 120,000; Full time

Job summary

A leading financial services company is seeking a Senior Advisor to supervise annuity and insurance transactions. This role involves monitoring compliance with regulatory standards, leading projects, and educating branch managers. The ideal candidate will have a Bachelor's degree and relevant licenses, and will ensure adherence to industry rules while driving success within the team.

Qualifications

• 3+ years in supervision or financial services.
• Licenses: Series 7, 24, 63, State Insurance License required.
• Understanding of compliance regulations (SEC, FINRA).

Responsibilities

• Monitor sales activities and ensure compliance with industry rules.
• Collaborate with sales management and compliance teams.
• Educate branch managers on annuity and insurance sales guidelines.

Skills

Attention to Detail

Professional Communication

Organizational Skills

Education

Bachelor's degree

Tools

Data Management Tools

Job description

Senior Advisor, Supervision – Annuities and Insurance

Job Overview

The Traditional Product team manages annuity and insurance transactions for Branch Managers and Financial Advisors, ensuring compliance with industry regulations and firm guidelines. The Senior Advisor reviews complex suitability cases, detects trends, and monitors trading patterns to ensure regulatory adherence. This role requires independent work on challenging assignments, leading projects of moderate scope, and providing comprehensive solutions.

Key Responsibilities

1. Monitor sales activities of branch managers using various reports and systems.
2. Ensure compliance with industry rules (State, FINRA, SEC) and firm policies, reporting findings professionally.
3. Collaborate with sales management, compliance, and supervision teams to address supervisory concerns and resolve conflicts.
4. Stay updated on securities and advisory regulations and apply them appropriately.
5. Maintain knowledge of the firm's annuity and insurance products to make suitable recommendations.
6. Educate branch managers and financial advisors on firm guidelines regarding annuity and insurance sales, including product replacements.
7. Interpret and recommend updates to organizational policies and procedures.
8. Serve as acting manager for unstaffed OSJ locations, ensuring compliance and policy enforcement.
9. Assist in analyzing escalated issues and responding to inquiries across departments regarding annuity and insurance activities.
10. Use financial data to propose control mechanisms and identify trends for corrective actions.
11. Support new OSJ branch managers in understanding policies and systems.
12. Perform other related duties as assigned.

Knowledge, Skills, and Qualifications

• Understanding of company policies, securities industry practices, and compliance regulations (SEC, FINRA, state authorities).
• Proficiency with office equipment, software, and data management tools.
• Strong attention to detail and professional communication skills.
• Ability to organize, prioritize, and manage multiple tasks independently.
• Experience working with financial advisors and enforcing policies.
• Educational background: Bachelor's degree and 3+ years in supervision or financial services; equivalent experience acceptable.
• Licenses: Series 7, 24, 63, and State Insurance License required; SIE preferred.

Additional Details

Salary Range: $80,000.00 - $0.00

Travel: Less than 25%

Work Style: Remote

Raymond James fosters a culture of development, collaboration, and integrity, emphasizing diversity and community involvement. We are an equal opportunity employer committed to merit-based employment.