Advisor, Supervision- Advertising Review

Raymond James

Base salary components included; + compensation ma...
Hybrid
Review advertising material for regulatory compliance
Apply finra sec and state regulations
Maintain training records and coordinate programs
Raymond James is seeking a Supervision Advisor to ensure compliance with advertising materials and regulatory standards within the financial services industry. The ideal candidate will have experience in supervision and compliance, particularly related to financial advisors and investment activities

Job Summary

  • The role involves serving as a trusted business partner to Financial Advisor teams by providing expertise on supervision and compliance issues.
  • Candidates will conduct reviews of advertising material to ensure strict adherence to industry rules from the SEC, FINRA, and state regulators.
  • The position offers a comprehensive benefits package including medical, dental, vision, life insurance, and retirement savings options.

Matching Summary

Match Score: 85

Raymond James is seeking a Supervision Advisor to ensure compliance with advertising materials and regulatory standards within the financial services industry. The ideal candidate will have experience in supervision and compliance, particularly related to financial advisors and investment activities.

Salary

Base salary components included; Additional compensation may include cash or equity; Discretionary bonuses or commissions possible

Skills & Requirements

Must-have

  • Review advertising material for regulatory compliance
  • Apply FINRA SEC and state regulations
  • Maintain training records and coordinate programs
  • Communicate effectively with branch managers

Nice-to-have

  • Familiarity with Raymond James systems
  • Participate in policy formation
  • Deliver oral presentations to business units
  • Establish positive relationships with field offices

Key Requirements

  • Bachelor's degree or equivalent experience
  • Minimum two years in Supervision or financial services
  • Series 7, 24, and 66 licenses required
  • SIE license required unless exempted

Work Rights

Not specified

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