Senior Advisor, Supervision – Dispute Resolution

Raymond James Financial, Inc.; Memphis (TN); On-site; USD 90,000 - 130,000; Full time

Job summary

Raymond James Financial, Inc. in Memphis seeks an experienced risk and supervisory professional to investigate client concerns, analyze activity, and determine appropriate resolution strategies to protect clients and the firm.

You will partner with Supervision, Divisional Management, Sales, Compliance, Legal and other stakeholders to relay findings, advise on regulatory obligations, and strengthen risk controls across the organization.

Qualifications

• Bachelor's degree in a related discipline and minimum 3 years of Supervision/financial services experience.
• Strong understanding of supervision, securities regulations, compliance, 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 resolution strategies.
• Identify supervisory, regulatory, litigation, and reputational risks to the firm.
• Contribute to 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.
• Maintain awareness of industry developments and evolving regulatory expectations.
• Escalate significant concerns appropriately and provide recommendations for resolution and risk mitigation.

Skills

Analytical skills

Investigative skills

Risk assessment

Prioritization

Communication

Relationship building

Policy enforcement

Attention to detail

Adaptability

Education

Bachelor's degree

Job description

What You Will Do

Dispute Resolution and Risk Management

• 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.

Partnership and Consultation

• Serve as a liaison between Supervision, Divisional Management, Sales & Supervision, Compliance, Legal, and other stakeholders.

• Build productive partnerships while maintaining an objective and risk-focused perspective.

• Communicate findings, concerns, and recommendations clearly and professionally.

• Provide guidance regarding supervisory expectations, regulatory obligations, and firm policies.

Leadership and Continuous Improvement

• Coach and mentor less experienced associates.

• Interpret, apply, and recommend enhancements to policies, procedures, and supervisory practices.

• Prepare and deliver written analyses, presentations, and recommendations to leadership.

• Support special projects and departmental initiatives designed to improve efficiency, consistency, and risk management effectiveness.

• Perform additional duties as assigned.

Cross-Functional Support

• Develop working knowledge of Money Movement and Senior & At-Risk Client supervision functions.

• Participate in cross-training opportunities across Supervision teams.

• Assist with reviews, investigations, escalations, and special projects within Money Movement and/or SARC as business needs require.

• Promote consistency in risk assessment and supervisory decision-making across teams.

Experience and Education

• 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.

What Will Help You Succeed

• Strong analytical and investigative skills.

• Excellent judgment and risk-assessment capabilities.

• Ability to independently manage multiple priorities and complex assignments.

• Strong written, verbal, and presentation skills.

• Effective relationship-building skills across all organizational levels.

• Ability to enforce policies and procedures while maintaining strong business partnerships.

• Attention to detail and commitment to regulatory excellence.

• Adaptability and willingness to expand expertise across multiple supervision disciplines.

Licenses and Certifications

• SIE and Series 7 securities licenses for the assigned functional area preferred, or the ability to obtain within 120 days.

• Additional licenses or certifications demonstrating expertise in supervision, regulation, compliance, or risk management are preferred.

How You Will Work

Investigate thoroughly: Gather facts, analyze information objectively, and develop well-supported conclusions.

Protect clients and the firm: Identify risks and help ensure concerns are addressed consistently and appropriately.

Collaborate broadly: Partner with leadership and business partners to resolve complex matters.

Communicate with impact: Present findings and recommendations clearly and professionally.

Adapt to changing priorities: Build expertise across multiple supervisory disciplines and support evolving business needs.

Drive continuous improvement: Identify opportunities to strengthen controls, enhance processes, and improve outcomes for clients and the firm.