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Job Snapshot
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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 specialized knowledge and skills obtained through experience, specialized training, 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.
Essential Duties and Responsibilities:
Job Requirements
Knowledge, Skills, and Abilities:
Knowledge of:
Investment concepts, practices, and procedures used in the securities industry.
Company%26rsquos working structure, policies, mission, and strategies.
General office practices, procedures, and methods.
Rules, regulations, and laws associated with senior and vulnerable investors.
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.
Effective time management, including prioritization and the appropriate management of investigations.
Detail orientation to ensure the regulatory liability is limited, without impairing workflow.
Utilizing business-appropriate phone manners.
Ability to
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/FAs.
Establish and communicate clear directions and priorities.
Provide a high level of customer service.
Strong verbal and written communication.
Educational/Previous Experience Recommendations:
Bachelor%26rsquos 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~
Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
%26middot None required.
- Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
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
