Advisor, Supervision Trade Review

Job Title

Assists in conducting internal reviews in order to ensure compliance with outside regulatory requirements and internal policies. Recommends change through presentation of facts and / or legislation. Has knowledge of government laws and regulations affecting the company's business area, and ability to interpret laws and regulations in light of operations. Under limited supervision, uses specialized knowledge and skills obtained through experience, specialized training or certification to 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. 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. Maintains extensive contact with internal customers to identify, research, and resolve problems.

Job Summary

Under limited supervision, uses specialized knowledge and skills obtained through experience, specialized training or certification to 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. 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. Maintains extensive contact with internal customers to identify, research, and resolve problems.

Essential Duties and Responsibilities

• Monitors the sales practice activities of branch managers through the use of various reports and systems.
• Pro-actively ensures compliance with applicable industry rules and platform policies and procedures as they apply to account trading activity of clients' accounts by monitoring financial advisor activity, reporting findings and managing concerns in a professional and educational manner.
• Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise with financial advisors and work together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts of the branch managers.
• Monitors and keeps up to date with regulations regarding trading activity in client accounts and applies them accordingly.
• Assists in researching Supervision issues.
• May participate in the formation of policies related to compliance.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of :

Skill in :

Ability to :

Educational / Previous Experience Recommendations

Licenses / Certifications :

Travel

Less than 25%

Workstyle

Hybrid

Company Culture

At 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 firm

At 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.