Advisor, Supervision - E-Comm Review

Communications Advisor

The Communications Review Team consists of the advertising, hard copy correspondence review, social media, and email review teams. The advisor for this team will administer and analyze various communication reviews and content to ensure compliance with regulatory expectations and firm policies and procedures. Escalates and partners with senior advisors and management team for highly sensitive or complex issues. Some guidance is provided to perform varied work that is somewhat difficult in nature and that requires evaluation, originality, and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Leads defined work or projects of moderate scope and complexity. Maintains extensive contact with internal customers to identify, research, and resolve problems.

Essential Duties and Responsibilities :

• Conducts supervision review of communications, through the use of various reports and systems.
• Interfaces with divisional leadership to inform them of any supervisory concerns that may arise with branch office managers / FAs and works together with them to address these concerns as well as to resolve any conflicts that may arise.
• Monitors and keeps up to date with regulations regarding communications and applies them accordingly.
• Assists in researching Supervision issues.
• Assists in developing training programs, including maintaining training records and coordinating training with functions.
• Prepares and delivers written and oral presentations to business units.
• May participate in the formation of policies related to compliance.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities :

Knowledge of :

Skill in :

Ability to :

Educational / Previous Experience Recommendations :

Licenses / Certifications :

Salary Range : $70,000.00-$0.00

Travel : Less than 25%

Workstyle : Remote

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence, and a conservative, long-term view. We expect our associates at all levels to : Grow professionally and inspire others to do the same; Work with and through others to achieve desired outcomes; Make prompt, pragmatic choices and act with the client in mind; Take ownership and hold themselves and others accountable for delivering results that matter; Contribute to the continuous evolution of the firm.

At Raymond James as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.