Senior Dispute Resolution Strategist

Raymond James; Saint Petersburg (FL); Hybrid; USD 90.000 - 130.000; Vollzeit

Benefits dieser Stelle

Benefits package

Hybrid work model

Zusammenfassung

Raymond James is seeking a Senior Advisor, Supervision - Dispute Resolution in a hybrid role in Florida. You will investigate client concerns, analyze risk, and guide supervisory decisions while collaborating with Compliance, Legal, Risk Management, and leadership to resolve inquiries and implement stronger controls.

The role emphasizes mentorship, cross-functional collaboration, and continuous improvement in supervision practices across teams, with a focus on regulatory excellence and risk

Qualifikationen

• 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.

Aufgaben

• 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.

Kenntnisse

Analytical thinking

Judgment

Investigations

Communication

Risk assessment

Ausbildung

Bachelor's degree in related discipline

Jobbeschreibung

Raymond James is seeking a Senior Advisor, Supervision - Dispute Resolution in a hybrid role in Florida. You will investigate client concerns, analyze risk, and guide supervisory decisions while collaborating with Compliance, Legal, Risk Management, and leadership to resolve inquiries and implement stronger controls.

The role emphasizes mentorship, cross-functional collaboration, and continuous improvement in supervision practices across teams, with a focus on regulatory excellence and risk