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Job Description

Job Summary:

The Communications Review Team consists of the advertising, hard copy correspondence review, social media and e-mail review teams. The senior advisor on the Social Media Supervision Review team will analyze various social media communication reviews and content to detect concerns and ensure compliance with regulatory expectations and firm policies and procedures.

May train and mentor new or less experienced team members. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity and provides comprehensive solutions to complex problems. Leads defined work or projects of moderate scope and complexity.

Essential Duties and Responsibilities:

• Conducts compliance review of social media communications using various reports and systems. Pro-actively ensures compliance with applicable industry rules (i.e. State, FINRA & SEC) and platform policies and procedures as they apply to social media communication review.

• Communicates with associates to inform them of any social media supervisory concerns and resolves any disputes that may arise.

• Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.

• Interprets, applies and recommends changes to organizational policies and procedures.

• Consults independently with branch managers and recommends actions to ensure compliance with existing rules and regulations as well as prevent potential liability.

• Identifies trends and assists with implementing corrective action as necessary. Proposes and/or assists with establishing control mechanisms and other improvement initiatives.

• Assists in researching supervision issues.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

• 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.

• Company’s working structure, policies, mission, and strategies.

• General office practices, procedures, and methods.

• Concepts, practices and procedures of securities industry and/or banking compliance, including suitability and other compliance issues involved with retail activity.

• Principles of banking, finance, and securities industry operations

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.

Ability to:

• Understand and apply regulatory and policy requirements when conducting reviews.

• 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’s degree (B.A) in a related discipline and a minimum of three (3) years of experience in Supervision and/or the financial services industry.

or

• An equivalent combination of experience, education, and/or training.

Licenses/Certifications:

• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.

o SIE required provided that an exemption or grandfathering cannot be applied.

o Required to have a Series 7, 24 and 66

o Series 65 and 63 can be obtained instead of 66

Salary Range- $80,000 - $90,000

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

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.

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