Senior Advisor, Supervision - Dispute Resolution

Raymond James & Associates; Saint Petersburg (FL); Presencial; USD 110 000 - 160 000; Tempo integral

Resumo da oferta

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

Qualificações

• 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.

Responsabilidades

• 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.

Conhecimentos

Investigations

Regulatory knowledge

Risk assessment

Communication skills

Mentoring others

Formação académica

Bachelor's degree in related discipline

Ferramentas

FINRA/SEC knowledge

Descrição da oferta de emprego

Job Description SummaryInvestigate concerns. Navigate complexity. Protect clients and the firm.The Senior Advisor, Supervision - Dispute Resolution plays a critical role in helping Raymond James evaluate, investigate, and resolve client complaints, grievances, regulatory inquiries, and other matters that may present regulatory, litigation, and reputational risk to the firm. This position requires strong analytical thinking, sound judgment, and the ability to independently manage complex matters while balancing regulatory obligations, client concerns, and business considerations.Working closely with Financial Advisors, Branch Managers, Divisional Leadership, Compliance, Legal, Risk Management, and other business partners, you will investigate concerns, identify potential supervisory issues, and help determine appropriate resolutions. You will also serve as a resource to less experienced associates and contribute to initiatives that enhance consistency, efficiency, and risk management practices across the Supervision organization.Senior Advisors are expected to develop expertise across multiple supervisory disciplines. While this position's primary focus is Dispute Resolution, associates may be cross-trained and assigned responsibilities supporting Money Movement and/or Senior & At-Risk Client supervision functions to meet business demands, enhance organizational resiliency, and support professional development.

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