Advisor, Communications Review Supervision Position Available In Pinellas, Florida

Advisor, Communications Review Supervision Raymond James Financial, Inc. – 3.7 Saint Petersburg, FL Job Details $26.77 – $35.69 an hour 15 hours ago Benefits Health insurance Dental insurance 401(k) Vision insurance Qualifications Trading Series 66 Mid-level Series 7 Supervising experience Bachelor’s degree Securities Industry Essentials Series 24 Securities law Financial services Phone etiquette Series 65 2 years Bachelor of Arts Series 63 Full Job Description Essential Duties and Responsibilities Conducts supervision review of communications, through the use of various reports and systems. Interfaces with divisional leadership 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. Monitors and keeps up to date with regulations regarding communications 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 participate in the formation of policies related to compliance. Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of Series 24 licensing). Company’s working structure, policies, mission, and strategies. General office practices, procedures, and methods. 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. 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/FAs. Establish and communicate clear directions and priorities. Provide a high level of customer service. Bachelor’s degree (B.A) in a related discipline and a minimum of two (2) years of experience in Supervision and/or the financial services industry. Any equivalent combination of experience, education, and/or training approved by Human Resources. Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe. SIE required provided that an exemption or grandfathering cannot be applied. Required to have a Series 7, 24 and 65, 63. Series 66 can be obtained instead of 63/65. This is the pay range that Magnit reasonably expects to pay for this position: $26.77/hour – $35.69/hour

Benefits:

Medical, Dental, Vision, 401K

QUALIFICATION/LICENSURE

Work Authorization :

Green Card, US Citizen, Other valid work visa Preferred years of experience : 2 years Travel required : No travel required Shift timings :