Senior Advisor, Supervision - Onboarding

Job Description

Job Summary

The Onboarding team provides expertise in reviewing registered persons prior to affiliating with/joining Raymond James. The Senior Advisor of this team will work in partnership with Regional Management and Registrations to obtain required onboarding documentation, review the obtained documentation, identify irregularities or potential regulatory and policy issues, and provide guidance related to the registered persons affiliation with Raymond James.
Some guidance is provided to perform varied work that is comprehensive in nature and which requires evaluation, originality and ingenuity to make moderately complex decisions. The candidate will need to resolve and/or recommend solutions to complex problems. Leads defined work or projects which may entail considerable scope and complexity. Maintains extensive contact with internal customers to identify, research, and resolve problems.

Essential Duties and Responsibilities

• Provide onboarding documentation to prospective Advisors and other registered persons.
• Obtain and review completed onboarding documentation while providing guidance on any identified issues that arise during the review process.
• Disseminates information and documentation to Regional Management and Registrations through firm systems.
• Pro-actively ensures compliance with applicable industry rules (i.e. State, FINRA & SEC) and platform policies and procedures as they apply to the onboarding process.
• Interfaces with specific business platforms and supervision associates to inform them of any supervisory concerns that may arise during the review process and work together with them to address and resolve these concerns.
• Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.
• Interprets, applies and recommends changes to organizational policies and procedures.
• May consult independently with branch managers and recommend actions to ensure compliance with existing rules and regulations as well as prevent potential liability.
• Continually evaluates procedures and provides suggestions and recommendations on how to improve current processes.
• Reviews and updates policies and procedures related to the onboarding process.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of

• Recruiting, onboarding, and registration processes for registered persons.
• 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
• 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.

Skill in

• Use of DocuSign and Raymond James Box or other equivalent platforms.
• 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 manners.

Ability to

• 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.
• Analyze risk to ensure that all issues are properly vetted and escalated as appropriate.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels.
• Work effectively with Financial Advisors,
• 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 three (3) 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.
• SIE required provided that an exemption or grandfathering cannot be applied.