Senior Supervision & Compliance Advisor

100 Raymond James & Associates, Inc.; Saint Petersburg (FL); On-site; USD 85,000 - 115,000; Full time

Benefits offered by this job

Medical

Dental

Vision

Life insurance

Retirement savings

Paid time off

Job summary

Raymond James in Saint Petersburg, FL, seeks an Advisor, Supervision to provide experienced supervisory guidance over advertising, marketing, and communications. You will review complex materials, research regulatory questions, and help ensure policies and controls keep pace with evolving regulations.

You will partner across departments to resolve escalated matters, assess risk, and help define compliant, practical paths forward while coaching others and maintaining industry knowledge.

Qualifications

• Bachelor’s degree and a minimum of two years of Compliance, Supervision, or relevant financial services experience.
• Series 7, 24, and 63/65 required or the ability to obtain within an established timeframe.
• Knowledge of SEC, FINRA, and state securities rules governing broker-dealer advertising and communications.

Responsibilities

• Serve as a trusted supervision partner to financial advisors on advertising, marketing, social media, and communications-related matters.
• Review complex or escalated advertising and marketing materials using applicable regulations, firm policies and procedures, and sound supervisory judgment.
• Research regulatory and supervisory questions and translate requirements into practical guidance for business partners.
• Develop well-supported recommendations for resolution when matters do not fit existing rules or precedents.
• Coordinate with Supervision, Compliance, Legal, Marketing, and other teams to resolve complex matters.
• Oversee supervision programs for assigned business areas and ensure controls align with activities and risk.
• Identify trends and opportunities to strengthen supervisory practices and training.

Skills

Critical thinking

Regulatory interpretation

Supervisory judgment

Policy communication

Education

Bachelor’s degree (B.A./B.S.)

Job description

Raymond James in Saint Petersburg, FL, seeks an Advisor, Supervision to provide experienced supervisory guidance over advertising, marketing, and communications. You will review complex materials, research regulatory questions, and help ensure policies and controls keep pace with evolving regulations.

You will partner across departments to resolve escalated matters, assess risk, and help define compliant, practical paths forward while coaching others and maintaining industry knowledge.