Senior Advisor, Supervision – Advertising Review

🔥 0 minutes ago

🌽 Illinois – Remote

🌽 Illinois – Remote

💵 $80k - $90k / year

⏰ Full Time

🟠 Senior

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

👻 Ghost score 0%

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Raymond James

WebsiteLinkedInAll Job Openings

10,000+ employees

Founded 1962

💼 Consulting

🛡️ Insurance

💸 Finance

Consulting • Insurance • Finance

Raymond James is a global financial services firm that offers a comprehensive range of investment solutions including wealth management, asset management, and investment banking services. The firm specializes in providing tailored financial planning and investment advice to individuals and institutions, with a focus on retirement planning, estate management, and financial education. Backed by a strong team of financial advisors and industry expertise, Raymond James is committed to helping clients achieve their financial goals through personalized services.

📋 Description

• Serve as a trusted supervision partner to financial advisors, Marketing, Home Office departments, and other business areas • Review complex or escalated advertising and marketing materials using applicable regulations, firm policies, supporting information, and supervisory judgment • Research regulatory and supervisory questions and translate requirements into practical guidance • Evaluate matters without clear existing rules, policies, or precedents and develop recommendations for resolution • Partner with Supervision, Compliance, Legal, Marketing, business units, and internal teams on complex matters • Oversee and support supervision programs, processes, and controls for assigned business areas • Identify emerging trends, recurring issues, control gaps, and training opportunities • Recommend and implement improvements to supervision programs, policies, procedures, controls, technology, and training • Provide escalated guidance and mentor less experienced team members • Assess and escalate potential regulatory, supervisory, or firm risk • Support quality assurance and controls addressing supervision or compliance concerns • Prepare and deliver recommendations, presentations, training, and communications to business partners and senior management • Support regulatory inquiries and examinations, including coordinating information and documentation • Maintain current knowledge of SEC, FINRA, state regulatory requirements, firm policies, industry developments, and emerging communication technologies • Own complex matters from initial question through documented resolution

🎯 Requirements

• Bachelor’s degree (B.A./B.S.) and a minimum of three (3) years of Compliance, Supervision, or relevant financial services experience • Equivalent combination of experience, education, and/or training approved by Human Resources • Series 7, Series 65/66, and Series 24 required, or ability to obtain required licenses within an established timeframe • Knowledge of SEC, FINRA, and applicable state securities rules and regulations governing broker-dealer advertising, marketing, and communications • Knowledge of financial services supervision and compliance practices, including risk-based supervisory controls • Knowledge of financial markets, investment products, and securities industry operations • Knowledge of advertising, marketing, social media, digital communications, and emerging communication channels within financial services • Knowledge of supervisory policies, procedures, quality assurance practices, and control frameworks • Ability to interpret advertising and communications requirements in complex circumstances • Ability to research regulatory and supervisory issues and develop clear, defensible recommendations • Ability to manage competing priorities and independently advance multiple projects, reviews, and escalated matters • Ability to build productive relationships across Supervision, Compliance, Legal, Marketing, Home Office departments, and other business areas • Ability to assess risk, reach well-supported conclusions, and escalate matters when appropriate • Ability to coach or mentor less experienced team members

🏖️ Benefits

• Medical, dental, and vision benefits • Life insurance • Critical illness insurance • Accident insurance • Disability benefits • Retirement savings • Paid time off, including vacation, holidays, and sick leave • Parental leave • Less than 25% travel • Remote workstyle