Raymond James Supervision Advisor- Social Media Ads Review in St. Petersburg, Florida

_Supervision Advisor- Social Media Ads Review_

Department:Raymond James Compliance- Financial Advisor Private Client Group (PCG) Compliance

Location:Raymond James Financial, Corporate Headquarters: St. Petersburg, FL

_Job Summary & Responsibilities:_

Raymond Jamesis hiring a Compliance Advisor administer and analyze various reviews to detect trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability.

This person will focus specifically on the policies and procedures required for broker-dealer advertising and marketing material on social media outlets, and how to properly best implement the plans.

_Essential Duties and Responsibilities:_

  • Conducts compliance reviews through the use of various reports and systems.

  • Reviews advertising, disclosures, notices, compliance related regulatory reports and forms for compliance with rules and regulations. Reports findings and manages concerns in a professional manner.

  • Interfaces with sales management associates to inform them of any supervisory concerns that may arise with branch office managers/FAs and works together with them to address these concerns as well as to resolve any conflicts that may arise

  • Monitors and keeps up to date with regulations and applies them accordingly.

  • Assists in researching Supervision issues.

  • Assists in developing training programs, including maintaining training records and coordinating training with functions.

  • Prepares and delivers written and oral presentations to business units.

  • May participate in the formation of policies related to compliance.

  • Performs other duties and responsibilities as assigned.

_Knowledge, Skills, and Abilities:_

Knowledge of:

  • Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of Series 24 licensing). Familiarity/facility with RJ and its systems is preferable.

  • Company’s working structure, policies, mission, and strategies.

  • General office practices, procedures, and methods.

  • Suitability and other compliance issues

Skill in:

  • Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.

  • Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.

  • Detail orientation to ensure the regulatory liability is limited, without impairing workflow.

  • Utilizing business-appropriate phone manners.

Ability to:

  • Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.

  • Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers/FAs.

  • 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.


Any equivalent combination of experience, education, and/or training approved by Human Resources.

_Licenses/Certifications:__ _

Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.

/_About Raymond James:_/

/Founded in 1962 and a public company since 1983, Raymond James is a Florida-based diversified holding company providing financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management. The firm's stock is traded on the New York Stock Exchange (RJF).

Today, that client-focused approach has extended to serve more than 3 million client accounts through 7,300 financial advisors in the United States, Canada and overseas. Further, the company has expanded through the years to serve corporations, institutions and municipalities through significant capital markets, banking and asset management services.

Raymond James has been recognized nationally for its community support and corporate philanthropy. The company has been ranked as one of the best in the country in customer service, as a great place to work and as a national leader in support of the arts./

Job: *Auditing & Compliance

Organization: *Private Client Group

Title: Supervision Advisor- Social Media Ads Review

Location: FL-St. Petersburg-Saint Petersburg

Requisition ID: 1801289