Senior Supervisory Advisor — Remote Branch Leader

Raymond James Financial, Inc.; Colorado; Remote; USD 75,000 - 90,000; Full time

Benefits offered by this job

Benefits package

Remote work option

Job summary

Raymond James Financial, Inc. seeks a Senior Advisor, Supervisory Solutions to review activities requiring supervisory oversight, identify emerging concerns, and guide advisors and branch leadership on firm and regulatory requirements.

The role focuses on solving complex supervisory problems while supporting business growth. You will collaborate with multiple partners, escalate issues appropriately, and help educate field personnel on regulatory developments and policy changes.

Qualifications

• Bachelor’s degree from a four-year college or university.
• 3+ years’ experience in a financial services firm / supervision.
• Series 7, 9/10 or 24, 66 or 65/63 required or ability to obtain.

Responsibilities

• Perform supervisory reviews and approvals of client accounts, transactions, and documentation.
• Provide supervisory support for branch managers, advisors, and associates.
• Research and resolve complex account, suitability, and regulatory matters.
• Monitor supervisory systems and reports for unusual activity or risks.
• Escalate concerns and partner with leadership to resolve.
• Interpret and apply firm policies and industry regulations.
• Educate advisors on regulatory developments and supervision practices.
• Collaborate with field supervision, compliance, legal, and operations.
• Recommend process improvements to strengthen supervision and risk management.
• Stay informed on changes affecting the securities and advisory industry.

Skills

Analytical thinking

Regulatory interpretation

Communication

Collaboration

Education

Bachelor’s degree in Accounting

Bachelor’s degree in Business Administration

Job description

Raymond James Financial, Inc. seeks a Senior Advisor, Supervisory Solutions to review activities requiring supervisory oversight, identify emerging concerns, and guide advisors and branch leadership on firm and regulatory requirements.

The role focuses on solving complex supervisory problems while supporting business growth. You will collaborate with multiple partners, escalate issues appropriately, and help educate field personnel on regulatory developments and policy changes.