Senior Advisor, Supervision - DR/SARC/Money Movement (Remote Option Available)

Raymond James & Associates; Saint Petersburg (FL); Remote; USD 110,000 - 150,000; Full time

Job summary

Raymond James & Associates is seeking a Senior Advisor, Supervision in Florida to review and approve money movement activities, ensuring compliance with regulations and firm policies. You will work with advisors, branch managers, and internal teams to investigate concerns and determine appropriate actions.

The role requires strong judgment, calmness under pressure, and clear communication. Candidates should have 3+ years in supervision or financial services and relevant regulatory licenses, with

Qualifications

• At least three years of supervision or financial services experience.
• Experience with complex transactions and regulatory requirements.
• Familiarity with securities licenses and regulatory credentials is preferred.
• Knowledge of Raymond James systems and operating environment is a plus.

Responsibilities

• Review and approve money movement transactions using applicable regulations, firm policies, supporting documentation, and sound supervisory judgment.
• Identify inconsistencies, unusual circumstances, potential fraud or financial exploitation, and matters requiring investigation or escalation.
• Contact clients to verify disbursements that meet established thresholds or when circumstances warrant additional confirmation.
• Review ACH, SLOA, and Periodic Payment setups for Branch Manager client accounts; communicate findings and address identified concerns.
• Monitor the Money Movement Supervision inbox, assess next steps independently, and escalate issues when appropriate.
• Partner with financial advisors, branch managers, regional leadership, Fraud, SARC, and other internal teams to resolve complex account matters.
• Explain supervisory concerns, decisions, and required actions clearly—even when the conversation is sensitive or the answer is not the one requested.
• Maintain current knowledge of regulations, firm policies, and emerging money movement risks and apply that knowledge consistently.
• Investigate customer disputes and evaluate matters involving senior and at-risk clients when assigned.
• Identify trends and opportunities to strengthen supervisory practices, processes, controls, policies, and procedures.
• Take ownership of matters from initial review through documented resolution and perform other responsibilities as assigned.

Skills

Critical thinking

Communication

Relationship-building

Independent work

Education

Bachelor's degree

Job description

Job Description Summary

Complex transactions. Sensitive client circumstances. Decisions that matter.

The Senior Advisor, Supervision helps protect Raymond James clients and the firm by reviewing money movement activity, identifying potential fraud or financial exploitation, and resolving supervisory matters that do not always have a straightforward answer. This role is for someone who remains calm under pressure, follows the facts, exercises sound judgment, and communicates decisions clearly.

You will independently review and approve day-to-day money movement activity while partnering with financial advisors, branch and regional leadership, Fraud, and other teams to investigate concerns and determine appropriate action. You may also be cross-trained to support Dispute Resolution (DR) and Senior & At-Risk Clients (SARC) and may transition temporarily or permanently among these functions based on business needs. The work can be complex-but it makes a meaningful difference.

Job Description

What You Will Do

• Review and approve money movement transactions using applicable regulations, firm policies, supporting documentation, and sound supervisory judgment.
• Follow the facts to identify inconsistencies, unusual circumstances, potential fraud or financial exploitation, and matters requiring investigation or escalation.
• Contact clients to verify disbursements that meet established thresholds or when circumstances warrant additional confirmation.
• Review ACH, Standing Letter of Authorization (SLOA), and Periodic Payment setups for Branch Manager client accounts; communicate findings and address identified concerns.
• Monitor the Money Movement Supervision inbox, assess next steps independently, and escalation issues when appropriate.
• Partner with financial advisors, branch managers, regional leadership, Fraud, SARC, and other internal teams to resolve complex account matters.
• Explain supervisory concerns, decisions, and required actions clearly-even when the conversation is sensitive or the answer is not the one requested.
• Maintain current knowledge of regulations, firm policies, and emerging money movement risks and apply that knowledge consistently.
• When assigned, investigate customer disputes and evaluate matters involving senior and at-risk clients.
• Identify trends, recurring issues, and opportunities to strengthen supervisory practices, processes, controls, policies, and procedures.
• Take ownership of matters from initial review through documented resolution and perform other responsibilities as assigned.

Experience and Education

• Required experience: At least three (3) years of Supervision and/or financial services experience, with demonstrated exposure to complex transactions, regulatory requirements, risk assessment, or client account matters.
• Education: A bachelor's degree in a related discipline, or an equivalent combination of education, experience, and training approved by Human Resources.
• Industry knowledge: Strong knowledge of investments, trading, securities industry regulations, and money movement at a level consistent with Series 24 and/or Series 9/10 licensing requirements.
• Preferred background: Familiarity with Raymond James systems, organizational structure, policies, and operating environment, along with additional relevant regulatory or industry credentials.

What Will Help You Succeed

• Critical thinking and sound judgment, including the ability to interpret requirements and apply them to complex or unusual circumstances.
• A disciplined eye for detail and risk, balanced with practical consideration for workflow and the client and advisor experience.
• The ability to manage competing priorities, make timely decisions, and work independently with minimal direct supervision.
• Clear, confident written and verbal communication with clients, financial advisors, branch managers, regional leadership, and internal partners.
• Professional composure during sensitive, challenging, or high-stakes conversations.
• Strong collaboration and relationship-building skills across business units and differing perspectives.
• A commitment to high-quality service without compromising supervisory standards or risk controls.

Required Licenses and Certifications

• SIE, unless an exemption or grandfathering provision applies.
• Series 7.
• Series 9 and 10; Series 24 may be accepted in lieu of Series 9 and 10.
• Any additional securities licenses required for the assigned functional area must be obtained within the established timeframe.
• Additional licenses or certifications demonstrating relevant regulatory and industry expertise are preferred.

How You Will Work

Follow the evidence: Investigate complex transactions and client circumstances, connect relevant facts, and reach well-supported conclusions.

Communicate with clarity: Explain concerns, decisions, required actions, and supporting rationale in a direct, respectful, and well-documented manner.

Use sound judgment: Balance regulatory req