Full-Time

Advisor – Supervision

Investment Advisory

Confirmed live in the last 24 hours

Raymond James Financial

Raymond James Financial

Junior, Mid

Denver, CO, USA + 1 more

More locations: St. Petersburg, FL, USA

Category
Investment Banking
Finance & Banking

You match the following Raymond James Financial's candidate preferences

Employers are more likely to interview you if you match these preferences:

Degree
Experience
Requirements
  • Knowledge of the company’s working structure, policies, mission, and strategies.
  • Knowledge of concepts, practices, and procedures of securities industry and/or banking compliance, including suitability and other compliance issues involved with retail activity.
  • Knowledge of principles of banking, finance, and securities industry operations.
  • Knowledge of rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies sufficient to perform the functions of this job.
  • General knowledge of ERISA, DOL, Retirement Plans.
  • Skill in operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
  • Attention to detail to ensure regulatory liability is limited, without impairing workflow.
  • Ability to organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.
  • Ability to independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.
  • Ability to use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels.
  • Ability to work effectively with Financial Advisors and enforce company policies and procedures as necessary.
Responsibilities
  • Monitors the sales practices, fiduciary and investment advisory activities of advisors and branch managers through the use of various reports and systems.
  • Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise with advisors and branch office managers 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 advisors and branch managers.
  • Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.
  • Interprets, applies, and recommends changes to organizational policies and procedures.
  • May consult independently with advisors and branch managers and recommend actions to ensure compliance with existing rules and regulations as well as prevent potential liability.
  • Uses financial data and performance indicators to propose and/or assist with establishing control mechanisms and other improvement initiatives. Identifies trends and assists with implementing corrective action as necessary.
  • Performs other duties and responsibilities as assigned.
Desired Qualifications
  • Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
  • SIE required provided that an exemption or grandfathering cannot be applied.
  • Required to have a Series 65.
  • Series 7 and 66 can be used instead of the 65.
  • Applicable designation or CFP can be used instead of the 65 or 66 and must be in good standing.
  • Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
Raymond James Financial

Raymond James Financial

View

Company Stage

N/A

Total Funding

N/A

Headquarters

N/A

Founded

N/A