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Job Snapshot
-
Employee Type:
Full-Time -
Location:
St. Petersburg, FL -
Job Type:
-
Experience:
Not Specified -
Date Posted:
11/11/2024
Job 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:
Under limited supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to respond to suspicions of senior and vulnerable adult financial exploitation and suspicions of diminished capacity of senior clients where there is not an authorized party to make financial decisions. Maintains extensive contact with internal customers to identify, research, and resolve problems related to senior and vulnerable clients. Responds to and resolves escalations related to investigations involving senior and vulnerable clients. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity and provides comprehensive solutions to complex problems.
Essential Duties and Responsibilities:
Job Requirements
Knowledge, Skills, and Abilities:
Knowledge of:
Company%26rsquos working structure, policies, mission, and strategies.
General office practices, procedures, and methods.
Rules, regulations, and laws associated with senior and vulnerable investors.
Concepts, practices and procedures of securities industry and/or banking compliance.
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
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.
Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.
Effective time management, including prioritization and the appropriate management of investigations.
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.
Use appropriate interpersonal styles 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%26rsquos degree (B.A) in a related discipline and a minimum of five (5) years of experience in Supervision and/or the financial services industry.
~or~
An equivalent combination of experience, education, and/or training.
Licenses/Certifications:
None Required
Additional licenses/certifications demonstrating the candidate%26rsquos knowledge/expertise in industry regulation and concepts preferred.
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
