Money Movement

Raymond James•Memphis, FL

4d•Hybrid

About The Position

The Senior Advisor, Supervision helps protect Raymond James clients and the firm by reviewing money movement activity, identifying potential fraud or financial exploitation, and resolving supervisory matters that do not always have a straightforward answer. This role is for someone who remains calm under pressure, follows the facts, exercises sound judgment, and communicates decisions clearly. You will independently review and approve day-to-day money movement activity while partnering with financial advisors, branch and regional leadership, Fraud, and other teams to investigate concerns and determine appropriate action. You may also be cross-trained to support Dispute Resolution (DR) and Senior & At-Risk Clients (SARC) and may transition temporarily or permanently among these functions based on business needs. The work can be complex—but it makes a meaningful difference.

Requirements

Critical thinking and sound judgment, including the ability to interpret requirements and apply them to complex or unusual circumstances.
A disciplined eye for detail and risk, balanced with practical consideration for workflow and the client and advisor experience.
The ability to manage competing priorities, make timely decisions, and work independently with minimal direct supervision.
Clear, confident written and verbal communication with clients, financial advisors, branch managers, regional leadership, and internal partners.
Professional composure during sensitive, challenging, or high-stakes conversations.
Strong collaboration and relationship-building skills across business units and differing perspectives.
A commitment to high-quality service without compromising supervisory standards or risk controls.
Investigate complex transactions and client circumstances, connect relevant facts, and reach well-supported conclusions.
Explain concerns, decisions, required actions, and supporting rationale in a direct, respectful, and well-documented manner.
Balance regulatory requirements, client circumstances, firm exposure, and probable consequences; recognize when further investigation or escalation is needed.
Maintain strong technical knowledge and continue developing capability across Money Movement, Dispute Resolution, and Senior & At-Risk Client matters.
Build trust across Supervision, Operations, Fraud, branches, and regional leadership, and work through differing perspectives to reach appropriate outcomes.
Look beyond an individual transaction when circumstances may indicate fraud, financial exploitation, inappropriate activity, or another heightened concern.
Carry matters from initial review through resolution, manage priorities independently, follow through, and document decisions and actions completely.
Respond effectively to changing priorities, regulations, emerging risks, and business needs, including assignments across DR, SARC, and Money Movement.
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.
An equivalent combination of experience, education, and/or training approved by Human Resources.
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 a Series 7, 9 and 10
Series 24 can be used instead of the 9 and 10
Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Nice To Haves

Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Responsibilities

Review and approve money movement transactions using applicable regulations, firm policies, supporting documentation, and sound supervisory judgment.
Follow the facts to identify inconsistencies, unusual circumstances, potential fraud or financial exploitation, and matters requiring investigation or escalation.
Contact clients to verify disbursements that meet established thresholds or when circumstances warrant additional confirmation.
Review ACH, Standing Letter of Authorization (SLOA), and Periodic Payment setups for Branch Manager client accounts; communicate findings and address identified concerns.
Monitor the Money Movement Supervision inbox, assess next steps independently, and escalate issues when appropriate.
Partner with financial advisors, branch managers, regional leadership, Fraud, SARC, and other internal teams to resolve complex account matters.
Explain supervisory concerns, decisions, and required actions clearly—even when the conversation is sensitive or the answer is not the one requested.
Maintain current knowledge of regulations, firm policies, and emerging money movement risks and apply that knowledge consistently.
When assigned, investigate customer disputes and evaluate matters involving senior and at-risk clients.
Identify trends, recurring issues, and opportunities to strengthen supervisory practices, processes, controls, policies, and procedures.
Take ownership of matters from initial review through documented resolution and perform other responsibilities as assigned.