Advisor, Communications Review- Supervision

Essential Duties and Responsibilities

• Conducts compliance review of social media communications using various reports and systems.
• Pro-actively ensures compliance with applicable industry rules (i.e. State, FINRA & SEC) and platform policies and procedures as they apply to social media communication review.
• Communicates with associates to inform them of any social media supervisory concerns and resolves any disputes that may arise.
• Maintains awareness of securities/advisory regulations and applies them accordingly.
• Interprets, applies, and recommends changes to organizational policies and procedures.
• Consults independently with branch managers and recommends actions to ensure compliance with existing rules and regulations as well as prevent potential liability.
• Identifies trends and assists with implementing corrective action as necessary.
• Proposes and/or assists with establishing control mechanisms and other improvement initiatives.
• Assists in researching supervision issues.

Knowledge, Skills, and Abilities

• 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) sufficient to perform the functions of this job.
• Company’s working structure, policies, mission, and strategies.
• General office practices, procedures, and methods.
• Concepts, practices and procedures of securities industry and/or banking compliance, including suitability and other compliance issues involved with retail activity.
• Principles of banking, finance, and securities industry operations.
• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Detail orientation to ensure the regulatory liability is limited, without impairing workflow.
• Utilizing business-appropriate phone and email manners.
• Ability to understand and apply regulatory and policy requirements when conducting reviews.
• Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.
• Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.
• Use appropriate interpersonal skills and communicate effectively and professionally, both orally and in writing, with all organizational levels.
• Work effectively with Financial Advisors and enforce company policies and procedures as necessary.
• Establish and communicate clear directions and priorities.
• Provide a high level of customer service.

Education/Previous Experience Requirements

• 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.
• An equivalent combination of experience, education, and/or training.

Licenses/Certifications

• 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.
• 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.

Workstyle

Hybrid

Total Compensation

• The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions.

Benefits

• Medical, dental, and vision coverage.
• Life insurance.
• Critical illness insurance and accident insurance.
• Disability benefits.
• Retirement savings.
• Paid time off (including vacation, holidays, and sick leave).
• Parental leave.

Behavioral Expectations

• Develop
• Collaborate
• Decide
• Deliver
• Improve

Company Culture

• Raymond James is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
• The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
• 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.
• When associates bring their best authentic selves, our organization, clients, and communities thrive.