Advisor, Communications Review- Supervision

Job Description Summary

The Communications Review Team consists of the advertising, hard copy correspondence review, social media and e-mail review teams. Associates on the Social Media Supervision Review team analyze various social media communication reviews and content to detect concerns and ensure compliance with regulatory expectations and firm policies and procedures.

Social Media Reviewers must work independently on difficult assignments that are broad in nature requiring originality and ingenuity and provide comprehensive solutions to complex problems.

Job Description

Essential Duties and Responsibilities:

• Conducts compliance review of social media communications using various reports and systems. Pro-actively ensures compliance with applicable industry rules (i.e. State, FINRA & SEC) and platform policies and procedures as they apply to social media communication review. 
• Communicates with associates to inform them of any social media supervisory concerns and resolves any disputes that may arise.
• Monitors and keeps up-to-date with securities/advisory regulations and applies them accordingly.
• Interprets, applies and recommends changes to organizational policies and procedures.
• Consults independently with branch managers and recommends actions to ensure compliance with existing rules and regulations as well as prevent potential liability.
• Identifies trends and assists with implementing corrective action as necessary. Proposes and/or assists with establishing control mechanisms and other improvement initiatives.
• Assists in researching supervision issues.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC) sufficient to perform the functions of this job.

• Company’s working structure, policies, mission, and strategies.
• General office practices, procedures, and methods.
• Concepts, practices and procedures of securities industry and/or banking compliance, including suitability and other compliance issues involved with retail activity.
• Principles of banking, finance, and securities industry operations
 

Skill in:

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Detail orientation to ensure the regulatory liability is limited, without impairing workflow. 
• Utilizing business-appropriate phone and email manners.

Ability to:

• Understand and apply regulatory and policy requirements when conducting reviews.
• Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently. 
• Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.
• Use appropriate interpersonal skills and communicate effectively and professionally, both orally and in writing, with all organizational levels. 
• Work effectively with Financial Advisors and enforce company policies and procedures as necessary.
• 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 and a minimum of two (2) years of experience in Supervision and/or the financial services industry.
~or~
• An equivalent combination of experience, education, and/or training.

Licenses/Certifications:

• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
   o SIE required provided that an exemption or grandfathering cannot be applied.
   o Required to have a Series 7, 24 and 66
   o Series 65 and 63 can be obtained instead of 66

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

 

 

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. 

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