Senior Advisor, Supervision - DR/SARC/Money Movement

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Senior Advisor, Supervision - DR/SARC/Money Movement

senior · Risk & Compliance

Job Description Summary

Job Description

Essential Duties and Responsibilities:

• Review and approve money movement transactions using applicable regulations, firm policies, supporting documentation, and sound supervisory judgment.

• Follow the facts to identify inconsistencies, unusual circumstances, potential fraud or financial exploitation, and matters requiring investigation or escalation.

• Contact clients to verify disbursements that meet established thresholds or when circumstances warrant additional confirmation.

• Review ACH, Standing Letter of Authorization (SLOA), and Periodic Payment setups for Branch Manager client accounts; communicate findings and address identified concerns.

• Monitor the Money Movement Supervision inbox, assess next steps independently, and escalate issues when appropriate.

• Partner with financial advisors, branch managers, regional leadership, Fraud, SARC, and other internal teams to resolve complex account matters.

• Explain supervisory concerns, decisions, and required actions clearly—even when the conversation is sensitive or the answer is not the one requested.

• Maintain current knowledge of regulations, firm policies, and emerging money movement risks and apply that knowledge consistently.

• When assigned, investigate customer disputes and evaluate matters involving senior and at-risk clients.

• Identify trends, recurring issues, and opportunities to strengthen supervisory practices, processes, controls, policies, and procedures.

• Take ownership of matters from initial review through documented resolution and perform other responsibilities as assigned.

Skill In:

• Critical thinking and sound judgment, including the ability to interpret requirements and apply them to complex or unusual circumstances.

• A disciplined eye for detail and risk, balanced with practical consideration for workflow and the client and advisor experience.

• The ability to manage competing priorities, make timely decisions, and work independently with minimal direct supervision.

• Clear, confident written and verbal communication with clients, financial advisors, branch managers, regional leadership, and internal partners.

• Professional composure during sensitive, challenging, or high-stakes conversations.

• Strong collaboration and relationship-building skills across business units and differing perspectives.

• A commitment to high-quality service without compromising supervisory standards or risk controls.

Ability To:

• Follow the evidence: Investigate complex transactions and client circumstances, connect relevant facts, and reach well-supported conclusions.

• Communicate with clarity: Explain concerns, decisions, required actions, and supporting rationale in a direct, respectful, and well-documented manner.

• Use sound judgment: Balance regulatory requirements, client circumstances, firm exposure, and probable consequences; recognize when further investigation or escalation is needed.

• Build expertise: Maintain strong technical knowledge and continue developing capability across Money Movement, Dispute Resolution, and Senior & At-Risk Client matters.

• Partner effectively: Build trust across Supervision, Operations, Fraud, branches, and regional leadership, and work through differing perspectives to reach appropriate outcomes.

• See the broader risk: Look beyond an individual transaction when circumstances may indicate fraud, financial exploitation, inappropriate activity, or another heightened concern.

• Own the outcome: Carry matters from initial review through resolution, manage priorities independently, follow through, and document decisions and actions completely.

• Adapt and learn: Respond effectively to changing priorities, regulations, emerging risks, and business needs, including assignments across DR, SARC, and Money Movement.

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 approved by Human Resources.

Licenses/Certifications:

• 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, 9 and 10

  • Series 24 can be used instead of the 9 and 10

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Are You Ready to Make an Impact?

If you are curious, composed, and willing to make well-reasoned decisions when the path is not obvious, we would like to hear from you. The work will not always be easy—but it will matter.

Education

Work Experience

Certifications

Travel

Workstyle

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

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.