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:
Communications Review: The Communications Review team consists of advertising, hard copy correspondence review, social media and e-mail review teams. The Senior Associate will analyze various advertising and marketing materials, content and publications to detect possible policy violations and risk matters to escalate to the appropriate supervision officer to ensure adherence to securities industry regulations and limit firm liability.
Packaged Products: The Traditional Product team oversees annuity and insurance transaction exception reviews, as well as some packaged product supervisory functions. The team conducts analysis as part of complex suitability reviews to detect trends, and trading patterns to ensure adherence to securities industry regulations and limit firm liability.
A Senior Associate for the Packaged Products team would be expected to administer and analyzing various money movement reviews to detect trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. The packaged product category includes but is not limited to mutual funds, UITs, exchange traded products and fixed income.
Regional Supervision- Money Movement: The Regional Supervision Advisor of money movements will administer and analyze various supervision reviews to detect trends and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. The Senior Associate for this team will administer and analyzing various money movement reviews to detect trends, patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability.
Specialized Products: Specialized Products Supervision provides expertise in supervising both pre-trade and post-trade reviews related to listed options, alternate investments, and structured investments. The Senior Associate for this team will administer and analyze various reviews to detect trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability.
Staff Onboarding: [Need description for Staff Onboarding]. The Senior Associate for this team will administer and analyze various reviews to detect trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability.
Associate Activity Supervision: The Associate Activity Supervision team encompasses review of Outside Business Activities, Outside Investment Accounts, Gifts Entertainment and Cash/Non-Cash Contributions. The Senior Associate for this team will administer and analyze various conflicts of interest reviews to detect trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability.
Essential Duties and Responsibilities:
•Conducts compliance and suitability reviews, and monitors trading activities, through the use of various reports and systems.
•Pro-actively monitors and ensures that trading activities in clients’ accounts meet the objectives of those accounts. Reports findings and manages concerns in a professional manner.
•Advises department management of any supervisory concerns that may arise with branch office managers/FAs.
•May work together with department management to address supervisory concerns as well as to resolve any conflicts that may arise related to client accounts.
•Monitors and keeps up to date with regulations regarding trading activity in client accounts and applies them accordingly.
•Researches Supervisory best practices, issues, etc.
•Provides support and guidance for Supervision function in assigned business entity
•Performs other duties and responsibilities as assigned.
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:
Communications Review: The Communications Review team consists of advertising, hard copy correspondence review, social media and e-mail review teams. The Senior Associate will analyze various advertising and marketing materials, content and publications to detect possible policy violations and risk matters to escalate to the appropriate supervision officer to ensure adherence to securities industry regulations and limit firm liability.
Packaged Products: The Traditional Product team oversees annuity and insurance transaction exception reviews, as well as some packaged product supervisory functions. The team conducts analysis as part of complex suitability reviews to detect trends, and trading patterns to ensure adherence to securities industry regulations and limit firm liability.
A Senior Associate for the Packaged Products team would be expected to administer and analyzing various money movement reviews to detect trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. The packaged product category includes but is not limited to mutual funds, UITs, exchange traded products and fixed income.
Regional Supervision- Money Movement: The Regional Supervision Advisor of money movements will administer and analyze various supervision reviews to detect trends and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. The Senior Associate for this team will administer and analyzing various money movement reviews to detect trends, patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability.
Specialized Products: Specialized Products Supervision provides expertise in supervising both pre-trade and post-trade reviews related to listed options, alternate investments, and structured investments. The Senior Associate for this team will administer and analyze various reviews to detect trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability.
Staff Onboarding: [Need description for Staff Onboarding]. The Senior Associate for this team will administer and analyze various reviews to detect trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability.
Associate Activity Supervision: The Associate Activity Supervision team encompasses review of Outside Business Activities, Outside Investment Accounts, Gifts Entertainment and Cash/Non-Cash Contributions. The Senior Associate for this team will administer and analyze various conflicts of interest reviews to detect trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability.
Essential Duties and Responsibilities:
•Conducts compliance and suitability reviews, and monitors trading activities, through the use of various reports and systems.
•Pro-actively monitors and ensures that trading activities in clients’ accounts meet the objectives of those accounts. Reports findings and manages concerns in a professional manner.
•Advises department management of any supervisory concerns that may arise with branch office managers/FAs.
•May work together with department management to address supervisory concerns as well as to resolve any conflicts that may arise related to client accounts.
•Monitors and keeps up to date with regulations regarding trading activity in client accounts and applies them accordingly.
•Researches Supervisory best practices, issues, etc.
•Provides support and guidance for Supervision function in assigned business entity
•Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
Knowledge of:
•Investments and trading, securities industry regulations.
•Company’s working structure, policies, mission, and strategies.
•General office practices, procedures, and methods.
•Suitability and other compliance issues involved with branch manager/FA trading activity.
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:
•Manage and complete multiple projects and tasks with minimal direct supervision.
•Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers/FAs.
•Establish and communicate clear directions and priorities.
•Provide a high level of customer service.
Educational/Previous Experience Requirements:
•Bachelor’s degree (B.A) in a related discipline
~or~
•Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
•Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe
Knowledge, Skills, and Abilities:
Knowledge of:
•Investments and trading, securities industry regulations.
•Company’s working structure, policies, mission, and strategies.
•General office practices, procedures, and methods.
•Suitability and other compliance issues involved with branch manager/FA trading activity.
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:
•Manage and complete multiple projects and tasks with minimal direct supervision.
•Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers/FAs.
•Establish and communicate clear directions and priorities.
•Provide a high level of customer service.
Educational/Previous Experience Requirements:
•Bachelor’s degree (B.A) in a related discipline
~or~
•Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
•Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe
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.