Supervision Specialist I

Location: St Petersburg, FL Reference Code: 0800331 Job Summary: Under limited direction from a senior level manager uses specialized knowledge and skills obtained through experience, specialized training or certification to administer and analyze various compliance and suitability reviews to detect trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability.  Approves day-to-day trading activity.  Essential Duties and 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. · Advises department management of any supervisory concerns that may arise with branch office managers/FAs.· May work together with department management to address supervisory 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. · Performs other duties and responsibilities as assigned.Knowledge, Skills, and Abilities:Knowledge of:· Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of Series 24 licensing).  Familiarity/facility with RJ and its systems is preferable.· Company’s working structure, policies, mission, and strategies.· General office practices, procedures, and methods.· Suitability and other compliance issues involved with branch manager/FA trading activity.  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.  · Utilizing business-appropriate phone manners. Ability to:· Manage and complete multiple projects and tasks 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. Licenses/Certifications:· Series 7 license required.  Series 9 and 10 license required or ability to obtain within designated timeframe.  · Additional licenses may be required for assigned functional area such as Life, Health & Variable Annuity Insurance License, or ability to obtain within designated timeframe. About us We take pride in providing innovative, individual financial planning and investment alternatives to a discriminating client base. While our mission is specific, our own needs are broad and we rely on a committed, diversely talented group of associates and experts - from electricians to financial attorneys - to enable and sustain our success. As a firm that has built a reputation on its commitment to independence and individuality, we value and reward the contributions of our associates. Everyone has an opportunity to make an impact at Raymond James. EOE-Drug Free Workplace