Advisor, Communications Review- Supervision

Raymond James Financial, Inc. • Saint Petersburg, FL • 5h ago

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.

Monitors and keeps up-to-date with 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.

Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

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

Skill in:

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.

Educational/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.

~or~

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.

o SIE required provided that an exemption or grandfathering cannot be applied.

o Required to have a Series 7, 24 and 66

o Series 65 and 63 can be obtained instead of 66

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