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Raymond James Financial, Inc.

Sales Supervision Specialist- Correspondence, New Accounts Form Reviews

Raymond James Financial, Inc. - Saint Petersburg, FL

Sales Supervision Specialist- Correspondence, New Accounts Form Reviews


St. Petersburg


_Supervision Specialist II- Correspondence & New Account Form Reviews_


Raymond James Independent Contractor/Financial Institutions Division- Supervision Sales


Raymond James Financial, Corporate Headquarters: St. Petersburg, FL

Location preference for this role will be at our St. Petersburg, FL Headquarters. Experienced Supervision & Compliance candidates, with active FINRA Series 7, 9/10 licensure in good standing, may be considered for our Scottsdale, AZ or Denver, CO office.

_Job Summary & Responsibilities:_

Raymond James Financial Services (RJFS) Private Client Advisor groupis hiring a

registered (FINRA Series 7 and 24 or 9/10)

Supervision Specialist

to conduct ongoing r


and ensure the firm and all associates are adhering to SEC regulations and limiting firm liability without hindering business activity.

Functional areas include:

_Correspondence Reviews_

: reading and reviewing incoming/outgoing emails, identifying correspondence related issues and escalating for resolution.

_New Accounts_

: new client accounts, new branch explanations, account transfer reviews: verify suitability, verify the consistency of account objectives, and detect and prevent possible conflicts of interest and/or inappropriate account registrations among employee and employee-related accounts.

_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/Financial Advisors 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.

May participate in the formation of policies related to compliance.

Performs other duties and responsibilities as assigned.

_Knowledge, Skills, and Abilities:_

Knowledge of:

Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the Series 24 and/or 9/10 licensing as required by functional area). Familiarity/facility with Raymond James and its systems is preferable.

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

General office practices, procedures, and methods.

Suitability and other compliance issues involved with branch manager/Financial Advisor 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:

Independently manage and complete multiple projects and tasks; work independently 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/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 3 years of experience in retail securities sales, sales management, operations, or compliance.


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


_ _

Series 7 license required.

Series 24 licenses required or ability to obtain within designated timeframe. Series 6 and 26 may be accepted in place of 7 and 24, depending on assigned functional area.

Additional licenses required for assigned functional area such as Series 9/10, Series 53 and/or Life, Health & Variable Annuity Insurance License, or ability to obtain within designated timeframe.

_Travel Required:_

* *Up to 10%. Must have a valid drivers’ license and be eligible for coverage under the firm’s Vehicle Fleet Safety Policy to drive on company business.

/_About Raymond James:_/

/Founded in 1962 and a public company since 1983, Raymond James is a Florida-based diversified holding company providing 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 firm's stock is traded on the New York Stock Exchange (RJF).

Today, that client-focused approach has extended to serve more than 3 million client accounts through 7,300 financial advisors in the United States, Canada and overseas. Further, the company has expanded through the years to serve corporations, institutions and municipalities through significant capital markets, banking and asset management services.

Raymond James has been recognized nationally for its community support and corporate philanthropy. The company has been ranked as one of the best in the country in customer service, as a great place to work and as a national leader in support of the arts./


*Auditing & Compliance


*Private Client Group


Sales Supervision Specialist- Correspondence, New Accounts Form Reviews


FL-St. Petersburg-Saint Petersburg

Requisition ID:


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15 days

Raymond James Financial, Inc.


Sales Supervision Specialist- Correspondence, New Accounts Form Reviews Raymond James Financial, Inc. - Saint Petersburg, FL, United States


Location: Saint Petersburg, FL

Company Profile:
Founded in 1962 and a public company since 1983, Raymond James is a diversified financial services holding company with subsidiaries engaged primarily in investment and financial planning, in addition to investment banking and asset management. Our stock is traded on the New York Stock Exchange (RJF).You can call it Ray or you can call it Ray Jay. Raymond James Financial doesn't mind as long as it's calling on customers. It offers investment and financial planning services primarily through subsidiary Raymond James & Associates (RJA), which provides securities brokerage, investment banking, and financial advisory services in North America and Europe. Its Raymond James Financial Services offers financial planning and brokerage services via independent financial advisors, as well as through alliances with community banks. Other units provide asset management, trust, and banking services. The firm has more than 2,500 traditional branches, satellite offices, and independent contractor branches.