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Job Information

Raymond James Financial, Inc. Supervisory Officer – Cross Border/International, Advisor in St. Petersburg, Florida

Description

Job Summary:

The Supervisory Officer will facilitate supervisory responsibility for key aspects of the institutions cross border activity, including the offering and use of products and services by international clients. This will require the development of an extensive familiarity with country rules specific to products and services, and the ability to monitor and assess compliance with the institution’s related policies and procedures. The Supervisory Officer will also facilitate in the responsibility for review of exception and monitoring reports, supervision of compliance with cross border policies, with an ability to assess and advice on addressing violations with respect to all cross border supervision aspects (e.g. Trading, New Accounts, and Travel)

This role will require building and maintaining strong relationships with all levels of the business, additionally understanding Raymond James offerings in order to develop pragmatic and effective solutions.

The individual should have a minimum of1-3 years of supervisory experience with a financial services firm, with experience in cross border business activities.

Essential Duties and Responsibilities:

  • Support review for trading and account servicing activity in cross border client accounts to monitor compliance to country guidelines.

  • Support reviews monitoring and exception reports with a view towards detection of compliance breaches of country guidelines, including monitoring of trading, account set-up and travel breaches..

  • Support supervision of Cross Border travel and activities during advisor travel periods, with respect to adherence to country guidelines for in-country conduct, trading and account servicing activities. .

  • Engages with internal partners as necessary to ensure appropriate assessment and handling of significant risk issues.

  • Maintains Cross Border specific information site and materials.

  • Tracks completion of educational obligations, disciplinary actions, and updates management on progress and gaps.

  • Assists and supports Head of Cross Border Oversight and Supervision with projects and program implementation wherever needed.

Qualifications

Essential Duties and Responsibilities:

  • Support review for trading and account servicing activity in cross border client accounts to monitor compliance to country guidelines.

  • Support reviews monitoring and exception reports with a view towards detection of compliance breaches of country guidelines, including monitoring of trading, account set-up and travel breaches..

  • Support supervision of Cross Border travel and activities during advisor travel periods, with respect to adherence to country guidelines for in-country conduct, trading and account servicing activities. .

  • Engages with internal partners as necessary to ensure appropriate assessment and handling of significant risk issues.

  • Maintains Cross Border specific information site and materials.

  • Tracks completion of educational obligations, disciplinary actions, and updates management on progress and gaps.

  • Assists and supports Head of Cross Border Oversight and Supervision with projects and program implementation wherever needed.

Knowledge, Skills, and Abilities:

  • Superior analytical skills with ability to solve complex problems, analyze large amounts of information, and identify, assess and execute on solutions.

  • Ability to balance supporting compliance in regulated environment with service-focused mindset.

  • Superior communication and reasoning skills, both written and verbal, to effectively communicate with financial advisors, senior leadership, peers, and staff in a diverse and complex organization.

  • High proficiency in MS Excel and Word.

  • Ability to optimize work processes, multi-task, handle multiple projects with demonstrated follow-through.

  • Strong drive to implement solutions, working with multiple parties throughout Raymond James.

  • Fluent in Spanish and/or Portuguese preferred

  • Ability to optimize work processes, multi-task, and handle multiple projects.

  • Strong internal personal skills communication skills

  • Extensive knowledge in cross border business accounts, entity structures and documentation requirements.

Educational/Previous Experience Requirements:

  • 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.

and

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

Licenses/Certifications:

Series 7 and Series 9/10 or 24 or ability to obtain 9/10

Job: Auditing & Compliance

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Organization Supervision

Schedule Full-time

Job Shift Day Job

Travel Yes, 5 % of the Time

Req ID: 2100382

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