Senior Advisor, Supervision - Dispute Resolution

Raymond James • Saint Petersburg, FL

4d • Hybrid

About The Position

The Senior Advisor, Supervision - Dispute Resolution plays a critical role in helping Raymond James evaluate, investigate, and resolve client complaints, grievances, regulatory inquiries, and other matters that may present regulatory, litigation, and reputational risk to the firm. This position requires strong analytical thinking, sound judgment, and the ability to independently manage complex matters while balancing regulatory obligations, client concerns, and business considerations. Working closely with Financial Advisors, Branch Managers, Divisional Leadership, Compliance, Legal, Risk Management, and other business partners, you will investigate concerns, identify potential supervisory issues, and help determine appropriate resolutions. You will also serve as a resource to less experienced associates and contribute to initiatives that enhance consistency, efficiency, and risk management practices across the Supervision organization. Senior Advisors are expected to develop expertise across multiple supervisory disciplines. While this position's primary focus is Dispute Resolution, associates may be cross-trained and assigned responsibilities supporting Money Movement and/or Senior & At-Risk Client supervision functions to meet business demands, enhance organizational resiliency, and support professional development.

Requirements

• Bachelor's degree in a related discipline and a minimum of three (3) years of Supervision and/or financial services industry experience; or an equivalent combination of education, training, and experience.
• Strong understanding of supervision, securities industry regulations, compliance, banking and financial services operations, and retail activity oversight.
• SIE, unless an exemption or grandfathering provision applies.
• Series 7.
• Series 9 and 10; Series 24 may be accepted in lieu of Series 9 and 10.
• Any additional securities licenses required for the assigned functional area must be obtained within the established timeframe.

Nice To Haves

• Experience handling complex investigations, regulatory inquiries, or supervisory matters preferred.
• Additional licenses or certifications demonstrating relevant regulatory and industry expertise are preferred.

Responsibilities

• Investigate client concerns, grievances, complaints, and regulatory inquiries.
• Analyze account activity, communications, documentation, and related records to assess potential risk and determine appropriate resolution strategies.
• Identify potential supervisory, regulatory, litigation, and reputational risks to the firm.
• Contribute to and lead discussions regarding regulatory reporting obligations, including Form U4 amendments and settlement reporting requirements.
• Apply knowledge of FINRA, SEC, state regulatory requirements, and firm policies when evaluating matters and making recommendations.
• Maintain awareness of industry developments and evolving regulatory expectations.
• Escalate significant concerns appropriately and provide recommendations for resolution and risk mitigation.
• Serve as a liaison between Supervision, Divisional Management, Sales & Supervision, Compliance, Legal, and other stakeholders.
• Build productive partnerships while maintaining an objective and risk-focused perspective.
• Communicate findings, concerns, and recommendations clearly and professionally.
• Provide guidance regarding supervisory expectations, regulatory obligations, and firm policies.
• Coach and mentor less experienced associates.
• Interpret, apply, and recommend enhancements to policies, procedures, and supervisory practices.
• Prepare and deliver written analyses, presentations, and recommendations to leadership.
• Support special projects and departmental initiatives designed to improve efficiency, consistency, and risk management effectiveness.
• Perform additional duties as assigned.
• Develop working knowledge of Money Movement and Senior & At-Risk Client supervision functions.
• Participate in cross-training opportunities across Supervision teams.
• Assist with reviews, investigations, escalations, and special projects within Money Movement and/or SARC as business needs require.
• Promote consistency in risk assessment and supervisory decision-making across teams.

Benefits

• medical
• dental
• vision
• life insurance
• critical illness insurance
• accident insurance
• disability benefits
• retirement savings
• paid time off (including vacation, holidays, and sick leave)
• parental leave

What This Job Offers

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