Senior Advisor, Branch Manager Supervisory Principal

About the role

Thousands of advisors and branch professionals rely on strong supervision, sound judgment, and thoughtful guidance to serve clients with confidence. We are looking for a Senior Advisor, Supervisory Solutions to join our team. This role is for a professional who enjoys solving complex problems, navigating regulatory requirements, and partnering with advisors and branch leadership to manage risk while supporting business growth. You will review activity that requires supervisory oversight, identify emerging concerns, provide guidance on firm and regulatory requirements, and serve as a trusted resource to advisors, branch managers, and business partners. The work requires strong judgment. The regulations evolve. The questions are rarely identical. The impact is real.

Strong supervision is more than reviewing transactions and policies. It is helping advisors navigate complexity, protecting client interests, identifying risk before it escalates, and ensuring the integrity of our business. If you are energized by meaningful work, thoughtful collaboration, and making sound decisions in a complex environment, we would love to hear from you.

Responsibilities

• Perform supervisory reviews and approvals of client accounts, transactions, and documentation requiring oversight
• Provide supervisory support for RJFS producing branch managers as well as for financial advisors, and branch associates engaged with Supervisory Solutions
• Research and resolve complex account, suitability, and regulatory matters
• Monitor supervisory systems and reports to identify unusual activity, trends, or potential risks
• Escalate concerns appropriately and partner with supervision leadership and business stakeholders to achieve resolution
• Interpret and apply firm policies, industry regulations, and supervisory standards
• Help educate and guide advisors and branch personnel on regulatory developments, supervision practices, and policy changes
• Collaborate with field supervision, branch leadership, compliance, legal, and operational partners
• Recommend process improvements designed to strengthen supervisory effectiveness and risk management
• Stay informed on changes affecting the securities and advisory industry