Manager, Supervision – Advertising Review

Raymond James • Southfield, MI

6d • Hybrid

About The Position

Raymond James is seeking a Manager, Supervision – Advertising Review to lead a team responsible for reviewing advertising, social media, and other communications across the firm. The role applies regulatory knowledge and judgment to complex supervisory decisions, partners with Financial Advisors and business leaders, and identifies ways to improve supervisory processes while maintaining regulatory standards and supporting a positive advisor experience.

The manager will coach and develop associates, promote consistent decisions, oversee team workloads and performance, and contribute to hiring and other people-management responsibilities. The position also supports strategic initiatives, technology enhancements, policy development, training, and cross-organizational efforts to address escalations and emerging risks.

The position requires a bachelor's degree in a related field and at least six years of experience in Supervision and/or financial services, or an equivalent combination of education, experience, and training approved by Human Resources. FINRA Series 7, 24, and 66 licenses are required for the assigned functional area. Additional relevant licenses or certifications are preferred. The role is hybrid, with travel of less than 25%.

Requirements

• Bachelor's degree in a related field and a minimum of six years of experience in Supervision and/or the financial services industry, or an equivalent combination of education, experience, and training approved by Human Resources.
• FINRA Series 7, 24, and 66 licenses required for the assigned functional area.
• Strong understanding of FINRA Rule 2210, SEC advertising requirements, and other regulations applicable to financial services communications.
• Knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, and applicable ERISA and Department of Labor requirements.
• Ability to interpret complex regulatory requirements and translate them into clear, practical guidance.
• Ability to coach and support associates and help them make sound decisions.
• Comfort navigating ambiguity, balancing priorities, and making thoughtful, risk-based decisions.
• Strong relationship-building and communication skills with Financial Advisors, senior leaders, and cross-functional partners.
• Ability to manage multiple priorities and complex projects with attention to detail and a commitment to quality.
• Service-oriented mindset and ability to balance regulatory obligations with the advisor experience.

Nice To Haves

• Additional licenses or certifications demonstrating expertise in securities regulation and related industry concepts.
• Three to six years of manager experience, as listed in the work experience information.

Responsibilities

• Lead, coach, and develop a team, providing guidance and ongoing feedback.
• Partner with Financial Advisors, branch leadership, Marketing, Compliance, Legal, and other business partners on advertising and communications requirements.
• Apply regulatory knowledge and judgment to complex or ambiguous advertising scenarios.
• Oversee reviews of advisor-created advertising, social media, and other communications for alignment with regulatory requirements and firm policies.
• Improve workflows and processes while promoting consistent supervisory decisions.
• Contribute to strategic initiatives, technology enhancements, policy development, and projects to modernize supervision.
• Develop and deliver training and communicate regulatory expectations to business partners.
• Collaborate with Supervision leadership and other departments to resolve escalations, identify emerging risks, and develop practical solutions.
• Oversee daily workloads and priorities, evaluate performance, identify development opportunities, and support hiring and other people-management responsibilities.

Benefits

• Medical, dental, and vision benefits may be available.
• Life insurance may be available.
• Critical illness and accident insurance may be available.
• Disability benefits may be available.
• Retirement savings may be available.
• Paid time off, including vacation, holidays, and sick leave, may be available.
• Parental leave may be available.
• Additional compensation may include cash or equity, discretionary bonuses, or commissions.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager