Senior Advisor, Supervision- Advertising Review
Raymond James, St. Petersburg, Florida, United States, 33739
Job Description Summary
Raymond James is hiring a Senior Advisor, Supervision, to complete ongoing functional reviews and provide advanced supervision support to assigned teams, focusing specifically on the policies and procedures required by applicable regulators for broker‑dealer advertising and marketing material which may include social media outlets.
Our Ideal Contributor Will
Serve as a trusted business partner to our Home Office or Financial Advisor teams by expertise with financial services related supervision and compliance issues.
Coordinate supervision functions and act as a liaison between functional areas.
Have confidence in making recommendations based on research and analysis conducted by the Supervision Advisor.
Maintain frequent contact and establish positive relationships with via phone and email, through reactive and proactive measures.
Series 7, Series 65/66 & Series 24 Licenses required.
Essential Duties and Responsibilities
Conduct review of advertising material to ensure compliance with applicable industry rules (i.e. State, FINRA, & SEC) and firm policies and procedures.
Research compliance & supervision issues with respect to advertising material.
Monitor and keep up to date with regulations regarding communications and apply them accordingly.
Assist in researching Supervision issues.
Assist in developing training programs, including maintaining training records and coordinating training with functions.
Prepare and deliver written and oral presentations to business units.
May participate in the formation of policies related to compliance.
Perform other duties and responsibilities as assigned.
Knowledge
Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.
Fundamental investment concepts, practices and procedures used in the securities industry.
Principles of banking and finance and securities industry operations.
Financial markets and products.
Skills
Integrating and aligning supervision processes and procedures with business processes.
Identifying and implementing controls and quality assurance processes.
Reviewing materials for compliance & supervision with rules and regulations.
Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.
Developing training programs.
Gathering information to prepare and deliver written and oral presentations.
Investigating relevant irregularities.
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Our Ideal Contributor Will
Serve as a trusted business partner to our Home Office or Financial Advisor teams by expertise with financial services related supervision and compliance issues.
Coordinate supervision functions and act as a liaison between functional areas.
Have confidence in making recommendations based on research and analysis conducted by the Supervision Advisor.
Maintain frequent contact and establish positive relationships with via phone and email, through reactive and proactive measures.
Series 7, Series 65/66 & Series 24 Licenses required.
Essential Duties and Responsibilities
Conduct review of advertising material to ensure compliance with applicable industry rules (i.e. State, FINRA, & SEC) and firm policies and procedures.
Research compliance & supervision issues with respect to advertising material.
Monitor and keep up to date with regulations regarding communications and apply them accordingly.
Assist in researching Supervision issues.
Assist in developing training programs, including maintaining training records and coordinating training with functions.
Prepare and deliver written and oral presentations to business units.
May participate in the formation of policies related to compliance.
Perform other duties and responsibilities as assigned.
Knowledge
Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.
Fundamental investment concepts, practices and procedures used in the securities industry.
Principles of banking and finance and securities industry operations.
Financial markets and products.
Skills
Integrating and aligning supervision processes and procedures with business processes.
Identifying and implementing controls and quality assurance processes.
Reviewing materials for compliance & supervision with rules and regulations.
Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.
Developing training programs.
Gathering information to prepare and deliver written and oral presentations.
Investigating relevant irregularities.
#J-18808-Ljbffr