Senior Advisor, Branch Manager Supervisory Principal

Job Description Summary

Job Description

You Might Be a Great Fit If You

• Remain calm and objective when addressing complex supervisory matters
• Balance risk management with practical business solutions
• Ask thoughtful questions and follow the facts
• Communicate difficult messages with professionalism and credibility
• Build trusted relationships across multiple business partners
• Enjoy interpreting regulations and translating them into actionable guidance
• Can identify patterns, trends, and emerging risks before they become larger issues
• Take ownership and work independently while collaborating effectively with others
• View every supervisory review as an opportunity to protect clients, advisors, and the firm

What You'll Do

• Perform supervisory reviews and approvals of client accounts, transactions, and documentation requiring oversight
• Provide supervisory support for RJFS producing branch managers as well as for financial advisors, and branch associates engaged with Supervisory Solutions
• Research and resolve complex account, suitability, and regulatory matters
• Monitor supervisory systems and reports to identify unusual activity, trends, or potential risks
• Escalate concerns appropriately and partner with supervision leadership and business stakeholders to achieve resolution
• Interpret and apply firm policies, industry regulations, and supervisory standards
• Help educate and guide advisors and branch personnel on regulatory developments, supervision practices, and policy changes
• Collaborate with field supervision, branch leadership, compliance, legal, and operational partners
• Recommend process improvements designed to strengthen supervisory effectiveness and risk management
• Stay informed on changes affecting the securities and advisory industry

What Success Looks Like

• Risks are identified early and addressed appropriately
• Advisors receive timely, practical, and well-reasoned guidance
• Regulatory obligations are met with consistency and professionalism
• Business partners view you as a trusted supervisory resource
• Complex issues are resolved through sound analysis, collaboration, and judgment
• Clients, advisors, and the firm are better protected because of your work

Educational/Previous Experience Requirements:

 • Bachelor’s degree (B.A.) from four-year college or university, and a minimum of three (3) years’ experience in a financial services firm / supervision

~or~

• An equivalent combination of experience, education, and/or training as approved by Human Resources.

Licenses/Certifications:

•    Series 7, 9/10 or 24, 66 or 65/63 required or the ability to obtain within an established timeframe.

Why This Role Matters

Strong supervision is more than reviewing transactions and policies.

It is helping advisors navigate complexity, protecting client interests, identifying risk before it escalates, and ensuring the integrity of our business.

If you are energized by meaningful work, thoughtful collaboration, and making sound decisions in a complex environment, we would love to hear from you.

Education

Work Experience

Certifications

Salary Range

Travel

Workstyle

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

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

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates.  When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.