United Spinal Association Jobs

Description

Department Overview:

Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management.

The Supervision department partners closely with the business to proactively mitigate risk. Our department supports business units by managing activity/account reviews, product oversight, escalation/approvals and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the firm while preserving our culture, and adhering to our core values of client first, conservatism, independence and integrity.

At Raymond James, we are putting the power of perspectives into action and building an inclusive and diverse workforce that reflects our commitment to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, and continuing education options.

Job Summary:

Communications Review: The Communications Review team consists of advertising, hard copy correspondence review, social media and e-mail review teams. The Senior Associate will analyze various advertising and marketing materials, content and publications to detect possible policy violations and risk matters to escalate to the appropriate supervision officer to ensure adherence to securities industry regulations and limit firm liability.

Under minimal supervision, uses specialized knowledge and skills obtained through experience, specialized training or certification to administer and analyze various reviews to detect trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Approves day-to-day trading activity.

Essential Duties and Responsibilities:

• Conducts compliance and suitability reviews, and monitors trading activities, through the use of various reports and systems.

• Pro-actively monitors and ensures that trading activities in clients’ accounts meet the objectives of those accounts. Reports findings and manages concerns in a professional manner.

• Advises department management of any supervisory concerns that may arise with branch office managers/FAs.

• May work together with department management to address supervisory concerns as well as to resolve any conflicts that may arise related to client accounts.

• Monitors and keeps up to date with regulations regarding trading activity in client accounts and applies them accordingly.

• Researches Supervisory best practices, issues, etc.

• Provides support and guidance for Supervision function in assigned business entity

• Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities:

Knowledge of:

• Investments and trading, securities industry regulations.

• Company’s working structure, policies, mission, and strategies.

• General office practices, procedures, and methods.

• Suitability and other compliance issues involved with branch manager/FA trading activity.

Skill in:

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.

• Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.

• Detail orientation to ensure the regulatory liability is limited, without impairing workflow.

• Utilizing business-appropriate phone manners.

Ability to:

• Manage and complete multiple projects and tasks with minimal direct supervision.

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers/FAs.

• Establish and communicate clear directions and priorities.

• Provide a high level of customer service.

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A) in a related discipline

or

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications:

• SIE preferred, provided that an exemption or grandfathering cannot be applied.

• Series 7, 66, 24 Required within 365 days, or an agreed upon time with management.

Job: Compliance

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Organization Supervision

Schedule Full-time

Job Shift Day Job

Travel Yes, 5 % of the Time

Req ID: 2401856