2026 Supervision Advisor - St. Petersburg, FL

Job Description Summary

Assists in conducting internal reviews in order to ensure compliance with outside regulatory requirements and internal policies. Recommends change through presentation of facts and/or legislation. Has knowledge of government laws and regulations affecting the company's business area, and ability to interpret laws and regulations in light of operations.

Job Description

Raymond James Overview 

One of the largest independent financial services firms in the country could be the place you build a career beyond your expectations. 

Our focus is on providing trusted advice and tailored, sophisticated strategies for individuals and institutions. Raymond James Financial is a 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. 

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. 

We strive to ensure everyone feels welcomed, valued, respected and heard so that you can fully contribute your unique talents for the benefit of clients, your career, our firm and our communities. Raymond James is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

Job Summary 

Under limited 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. May be responsible for coordinating supervision functions, developing training programs and ability to liaison between functional areas. Serves as a Technical Advisor to teams. 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 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.  

• Interfaces with sales management associates 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 related to client accounts.  

• Monitors and keeps up to date with regulations regarding trading activity in client accounts 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