Senior Dispute Resolution Advisor

Raymond James, Inc.; Florida; Hybrid; USD 90,000 - 135,000; Full time

Benefits offered by this job

Medical, dental, vision

Life insurance

Disability benefits

Retirement savings

Paid time off

Parental leave

Job summary

Raymond James, Inc. is seeking a Senior Advisor, Supervision - Dispute Resolution in hybrid Saint Petersburg, FL or Memphis, TN.

You will investigate client concerns, analyze records for risk, and collaborate with Compliance, Legal, and Risk teams to determine appropriate resolutions. The role emphasizes strong analytical thinking, judgment, and the ability to manage complex investigations while balancing regulatory obligations and client interests.

Qualifications

• Bachelor's degree in a related discipline; minimum 3 years in supervision and/or financial services; strong understanding of supervision, securities regulations, compliance, and risk management.
• Experience handling complex investigations, regulatory inquiries, or supervisory matters preferred.
• Licenses such as SIE and Series 7 preferred or ability to obtain within 120 days.

Responsibilities

• Investigate client concerns, grievances, complaints, and regulatory inquiries.
• Analyze account activity, communications, documentation, and related records to assess risk and determine resolution strategies.
• Identify supervisory, regulatory, litigation, and reputational risks to the firm and provide recommendations for resolution and risk mitigation.
• Prepare analyses, presentations, and recommendations for leadership; support cross-functional collaboration across Supervision, Compliance, Legal, and Risk Management.
• Coach and mentor less experienced associates; contribute to policy enhancements and continuous improvement across supervision disciplines.
• Cross-train in Money Movement and Senior & At-Risk Client supervision functions; participate in reviews, investigations, escalations, and special projects.

Skills

Analytical thinking

Investigative skills

Regulatory knowledge

Communication skills

Cross-functional collaboration

Education

Bachelor's degree in related field

Job description

Raymond James, Inc. is seeking a Senior Advisor, Supervision - Dispute Resolution in hybrid Saint Petersburg, FL or Memphis, TN.

You will investigate client concerns, analyze records for risk, and collaborate with Compliance, Legal, and Risk teams to determine appropriate resolutions. The role emphasizes strong analytical thinking, judgment, and the ability to manage complex investigations while balancing regulatory obligations and client interests.