Senior Dispute Resolution & Risk Leadership

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

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.