Senior Advisor, Supervision Banking & Lending

Raymond James•Saint Petersburg, FL

2d•Hybrid

About The Position

We are seeking a Registered Principal with a passion for solving complex lending challenges, identifying emerging risks, and helping Financial Advisors navigate difficult situations with confidence and sound judgment. This role is responsible for the supervision of margin lending and securities-based lending (SBL) activities, including the review of complex lending scenarios, client borrowing practices, collateralized lending relationships, and related banking products. The position partners closely with Financial Advisors, Branch Management, Compliance, Risk, and Raymond James Bank to ensure regulatory compliance while supporting responsible business growth.

Requirements

Bachelor’s degree (B.A) in a related discipline and a minimum of three (3) years of experience in Supervision and/or the financial services industry, or an equivalent combination of experience, education, and/or training.
Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
SIE required provided that an exemption or grandfathering cannot be applied.
Required to have Series 7, 9, 10 and 63.
Series 24 can be used instead of 9 and 10.
Series 66 can be used instead of 63.

Nice To Haves

Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Responsibilities

Investigate complex margin and securities-based lending activities.
Review client borrowing and collateral arrangements.
Interpret regulatory requirements.
Identify potential risks.
Influence business outcomes.
Help shape supervisory practices that support both investor protection and business success.