Advisor – Supervision – Annuity & Insurance
| Company | Raymond James Financial |
|---|---|
| Location | St. Petersburg, FL, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | |
| Experience Level | Mid Level, Senior |
Requirements
- Knowledge of investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of Series 24 licensing).
- Ability to build rapport with branch associates and uses effective communication skills to deliver outcomes of suitability determinations both positive and negative.
- 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.
- 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.
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, other supervision associates, and compliance associates 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 related to client accounts.
- Monitors and keeps up to date with regulations regarding trading activity in client accounts and applies them accordingly.
- Monitors and keeps up to date with the annuity and insurance offerings at the Firm and applies this knowledge in making appropriate suitability determinations.
- Assists in educating branch managers/financial advisors and branch associates regarding the Firms guidelines as it relates to the sale of annuity and insurance products including replacements.
- Assists in researching Supervision issues.
- Assists in developing training programs.
- 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.
Preferred Qualifications
- Familiarity/facility with RJ and its systems is preferable.
- Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
- Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.