Department Overview:
Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management.
The Supervision department partners closely with the business to proactively mitigate risk. Our department supports business units by managing activity/account reviews, product oversight, escalation/approvals and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the firm while preserving our culture, and adhering to our core values of client first, conservatism, independence and integrity.
At Raymond James, we are putting the power of perspectives into action and building an inclusive and diverse workforce that reflects our commitment to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, and continuing education options.
Job Summary:
The Communications Review Team consists of the advertising, hard copy correspondence review, social media and e-mail review teams. The advisor for this team will administer and analyze various communication reviews and content to ensure compliance with regulatory expectations and firm policies and procedures. Escalates and partners with senior advisors and management team for highly sensitive or complex issues.
Some guidance is provided to perform varied work that is somewhat difficult in nature and that requires evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Leads defined work or projects of moderate scope and complexity. Maintains extensive contact with internal customers to identify, research, and resolve problems.
Essential Duties and Responsibilities:
Department Overview:
Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management.
The Supervision department partners closely with the business to proactively mitigate risk. Our department supports business units by managing activity/account reviews, product oversight, escalation/approvals and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the firm while preserving our culture, and adhering to our core values of client first, conservatism, independence and integrity.
At Raymond James, we are putting the power of perspectives into action and building an inclusive and diverse workforce that reflects our commitment to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, and continuing education options.
Job Summary:
The Communications Review Team consists of the advertising, hard copy correspondence review, social media and e-mail review teams. The advisor for this team will administer and analyze various communication reviews and content to ensure compliance with regulatory expectations and firm policies and procedures. Escalates and partners with senior advisors and management team for highly sensitive or complex issues.
Some guidance is provided to perform varied work that is somewhat difficult in nature and that requires evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Leads defined work or projects of moderate scope and complexity. Maintains extensive contact with internal customers to identify, research, and resolve problems.
Essential Duties and Responsibilities:
Knowledge, Skills, and Abilities:
Knowledge of:
•Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of Series 24 licensing). Familiarity/facility with RJ and its systems is preferable.
•Company’s working structure, policies, mission, and strategies.
•General office practices, procedures, and methods.
Skill in:
•Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.
•Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.
•Detail orientation to ensure the regulatory liability is limited, without impairing workflow.
•Utilizing business-appropriate phone manners.
Ability to:
Educational/Previous Experience Recommendations:
•Bachelor’s degree (B.A) in a related discipline and a minimum of two (2) years of experience in Supervision and/or the financial services industry.
~or~
•Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
Knowledge, Skills, and Abilities:
Knowledge of:
•Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of Series 24 licensing). Familiarity/facility with RJ and its systems is preferable.
•Company’s working structure, policies, mission, and strategies.
•General office practices, procedures, and methods.
Skill in:
•Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.
•Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.
•Detail orientation to ensure the regulatory liability is limited, without impairing workflow.
•Utilizing business-appropriate phone manners.
Ability to:
Educational/Previous Experience Recommendations:
•Bachelor’s degree (B.A) in a related discipline and a minimum of two (2) years of experience in Supervision and/or the financial services industry.
~or~
•Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
We expect our associates at all levels to:• Grow professionally and inspire others to do the same• Work with and through others to achieve desired outcomes• Make prompt, pragmatic choices and act with the client in mind• Take ownership and hold themselves and others accountable for delivering results that matter• Contribute to the continuous evolution of the firmAt Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
We expect our associates at all levels to:• Grow professionally and inspire others to do the same• Work with and through others to achieve desired outcomes• Make prompt, pragmatic choices and act with the client in mind• Take ownership and hold themselves and others accountable for delivering results that matter• Contribute to the continuous evolution of the firmAt Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.