Job Description Summary

Investigate concerns. Navigate complexity. Protect clients and the firm.

The Senior Advisor, Supervision - Dispute Resolution plays a critical role in helping Raymond James evaluate, investigate, and resolve client complaints, grievances, regulatory inquiries, and other matters that may present regulatory, litigation, and reputational risk to the firm. This position requires strong analytical thinking, sound judgment, and the ability to independently manage complex matters while balancing regulatory obligations, client concerns, and business considerations.

Working closely with Financial Advisors, Branch Managers, Divisional Leadership, Compliance, Legal, Risk Management, and other business partners, you will investigate concerns, identify potential supervisory issues, and help determine appropriate resolutions. You will also serve as a resource to less experienced associates and contribute to initiatives that enhance consistency, efficiency, and risk management practices across the Supervision organization.

Senior Advisors are expected to develop expertise across multiple supervisory disciplines. While this position's primary focus is Dispute Resolution, associates may be cross-trained and assigned responsibilities supporting Money Movement and/or Senior & At-Risk Client supervision functions to meet business demands, enhance organizational resiliency, and support professional development.

Job Description

What You Will Do

Dispute Resolution and Risk Management

• Investigate client concerns, grievances, complaints, and regulatory inquiries.
• Analyze account activity, communications, documentation, and related records to assess potential risk and determine appropriate resolution strategies.
• Identify potential supervisory, regulatory, litigation, and reputational risks to the firm.
• Contribute to and lead discussions regarding regulatory reporting obligations, including Form U4 amendments and settlement reporting requirements.
• Apply knowledge of FINRA, SEC, state regulatory requirements, and firm policies when evaluating matters and making recommendations.
• Maintain awareness of industry developments and evolving regulatory expectations.
• Escalate significant concerns appropriately and provide recommendations for resolution and risk mitigation.

Partnership and Consultation

• Serve as a liaison between Supervision, Divisional Management, Sales & Supervision, Compliance, Legal, and other stakeholders.
• Build productive partnerships while maintaining an objective and risk-focused perspective.
• Communicate findings, concerns, and recommendations clearly and professionally.
• Provide guidance regarding supervisory expectations, regulatory obligations, and firm policies.

Leadership and Continuous Improvement

• Coach and mentor less experienced associates.
• Interpret, apply, and recommend enhancements to policies, procedures, and supervisory practices.
• Prepare and deliver written analyses, presentations, and recommendations to leadership.
• Support special projects and departmental initiatives designed to improve efficiency, consistency, and risk management effectiveness.
• Perform additional duties as assigned.

Cross-Functional Support

• Develop working knowledge of Money Movement and Senior & At-Risk Client supervision functions.
• Participate in cross-training opportunities across Supervision teams.
• Assist with reviews, investigations, escalations, and special projects within Money Movement and/or SARC as business needs require.
• Promote consistency in risk assessment and supervisory decision-making across teams.

Experience and Education

• Bachelor's degree in a related discipline and a minimum of three (3) years of Supervision and/or financial services industry experience; or an equivalent combination of education, training, and experience.
• Strong understanding of supervision, securities industry regulations, compliance, banking and financial services operations, and retail activity oversight.
• Experience handling complex investigations, regulatory inquiries, or supervisory matters preferred.

What Will Help You Succeed

• Strong analytical and investigative skills.
• Excellent judgment and risk-assessment capabilities.
• Ability to independently manage multiple priorities and complex assignments.
• Strong written, verbal, and presentation skills.
• Effective relationship-building skills across all organizational levels.
• Ability to enforce policies and procedures while maintaining strong business partnerships.
• Attention to detail and commitment to regulatory excellence.
• Adaptability and willingness to expand expertise across multiple supervision disciplines.

Required Licenses and Certifications

·         SIE, unless an exemption or grandfathering provision applies.

·         Series 7.

·         Series 9 and 10; Series 24 may be accepted in lieu of Series 9 and 10.

·         Any additional securities licenses required for the assigned functional area must be obtained within the established timeframe.

·         Additional licenses or certifications demonstrating relevant regulatory and industry expertise are preferred.

How You Will Work

Investigate thoroughly: Gather facts, analyze information objectively, and develop well-supported conclusions.

Protect clients and the firm: Identify risks and help ensure concerns are addressed consistently and appropriately.

Collaborate broadly: Partner with leadership and business partners to resolve complex matters.

Communicate with impact: Present findings and recommendations clearly and professionally.

Adapt to changing priorities: Build expertise across multiple supervisory disciplines and support evolving business needs.

Drive continuous improvement: Identify opportunities to strengthen controls, enhance processes, and improve outcomes for clients and the firm.

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

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. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

 

 

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. 

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