Senior Branch Risk & Compliance Advisor

Raymond James Financial, Inc.; Denver (CO); On-site; USD 90,000 - 120,000; Full time

Job summary

Raymond James Financial, Inc. is seeking a detail-oriented supervisor to review client accounts and transactions, ensuring regulatory compliance and proper documentation.

You will support branch managers, financial advisors, and Supervisory Solutions teams while researching complex matters and escalating issues as needed. The role emphasizes objective analysis, relationship-building across partners, and proactive risk identification to protect clients and the firm.

Qualifications

• Ability to interpret regulations and translate them into actionable guidance.
• Identifying patterns, trends and emerging supervisory risks.
• Maintaining objectivity and professional communication in complex matters.
• Balancing risk management with practical business solutions.

Responsibilities

• Perform supervisory reviews and approvals of client accounts, transactions, and documentation requiring oversight.
• Provide supervisory support for RJFS producing branch managers as well as for financial advisors, and branch associates engaged with Supervisory Solutions.
• Research and resolve complex account, suitability, and regulatory matters.
• Monitor supervisory systems and reports to identify unusual activity, trends, or potential risks.

Skills

Calm under pressure

Regulatory interpretation

Risk-focused decision making

Questioning and evidence-based

Relationship building

Independent work with collaboration

Job description

Raymond James Financial, Inc. is seeking a detail-oriented supervisor to review client accounts and transactions, ensuring regulatory compliance and proper documentation.

You will support branch managers, financial advisors, and Supervisory Solutions teams while researching complex matters and escalating issues as needed. The role emphasizes objective analysis, relationship-building across partners, and proactive risk identification to protect clients and the firm.