Advisor, Supervision- Advertising Review

Job Description Summary

Job Description

Essential Duties and Responsibilities

• Serve as a trusted supervision partner to financial advisors  on advertising, marketing, social media, and communications-related matters.
• Review complex or escalated advertising and marketing materials using applicable regulations, firm policies and procedures, supporting information, and sound supervisory judgment.
• Research regulatory and supervisory questions and translate requirements into practical guidance for business partners.
• Evaluate matters that do not fit neatly within an existing rule, policy, or precedent and develop well-supported recommendations for resolution.
• Partner across Supervision, Compliance, Legal, Marketing, business units, and other internal teams to resolve complex or sensitive matters.
• Oversee and support supervision programs for assigned business areas, helping ensure supervisory processes and controls are appropriately aligned with business activities and risk.
• Identify emerging trends, recurring issues, and opportunities to strengthen supervisory practices, controls, policies, procedures, and training.
• Recommend and help implement changes to supervision programs, policies, procedures, and controls as business practices, technology, and regulatory expectations evolve.
• Provide escalated guidance to supervision associates and business partners and coach or mentor less experienced team members.
• Assess potential regulatory, supervisory, or firm risk and appropriately escalate matters involving potential rule violations or liability.
• Support quality assurance and other controls designed to identify and address potential supervision or compliance concerns.
• Prepare and deliver written recommendations, presentations, training, and other communications to business partners and senior management.
• Support regulatory inquiries or examinations involving assigned areas, including coordinating information and documentation when appropriate.
• Maintain current knowledge of applicable SEC, FINRA, state regulatory requirements, firm policies, industry developments, and emerging communication channels and technologies.
• Take ownership of complex matters from initial question through documented resolution and perform other responsibilities as assigned.

Skill In

• Critical thinking and sound supervisory judgment, particularly when regulations, policies, business needs, and facts do not produce an immediately obvious answer.
• Interpreting advertising and communications requirements and applying them to new, complex, or unusual circumstances.
• Identifying risk without losing sight of practical business considerations, workflow, and the advisor and client experience.
• Researching complex regulatory and supervisory issues and developing clear, defensible recommendations.
• Communicating complex requirements in a way that is understandable, practical, and actionable.
• Managing competing priorities and independently advancing multiple projects, reviews, and escalated matters.
• Building productive relationships across Supervision, Compliance, Legal, Marketing, Home Office departments, and other business areas.
• Identifying trends and translating individual issues into broader improvements to controls, processes, policies, or training.
• Providing high-quality service without compromising supervisory standards or regulatory requirements.

Ability To

• Interpret the gray: Apply regulatory requirements, firm policies, precedent, and sound judgment when a matter does not have a simple yes-or-no answer.
• Explain the why: Communicate supervisory concerns, decisions, required changes, and supporting rationale clearly enough that business partners understand both the answer and the reasoning behind it.
• Find the path forward: Identify compliant and practical alternatives when the original approach does not work rather than stopping at “no.”
• See beyond the submission: Recognize when an individual review or question points to a broader risk, control gap, training need, or opportunity to improve a supervisory program.
• Be the expert in the room: Develop and maintain strong knowledge of advertising and communications regulation, financial products, industry practices, emerging technologies, and firm requirements.
• Partner without compromising: Build trusted relationships with business partners and work through differing perspectives while maintaining appropriate supervisory standards.
• Make the call: Gather the relevant facts, assess risk, reach a well-supported conclusion, and recognize when a matter requires additional expertise or escalation.
• Make supervision better: Challenge processes that no longer make sense, identify opportunities for improvement, and help evolve policies, procedures, controls, technology, and training.
• Own the outcome: Independently carry complex matters from initial question through resolution, communicate decisions effectively, and ensure appropriate follow-through and documentation.
• Develop others: Share expertise, provide thoughtful guidance, and coach less experienced associates to strengthen the broader supervision team.

Knowledge Of

• SEC, FINRA, and applicable state securities rules and regulations governing broker-dealer advertising, marketing, and communications.
• Financial services supervision and compliance practices, including risk-based supervisory controls.
• Financial markets, investment products, and securities industry operations.
• Advertising, marketing, social media, digital communications, and emerging communication channels within financial services.
• Supervisory policies, procedures, quality assurance practices, and control frameworks.

Educational/Previous Experience Requirements

• Bachelor’s degree (B.A./B.S.) and a minimum of two (2) years of Compliance, Supervision, or relevant financial services experience.

~or~

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

Licenses/Certifications

• Series 7, 24, and 63/ 65 or 66 required or the ability to obtain required licenses within an established timeframe.
• Additional licenses or certifications demonstrating expertise in securities regulation, supervision, advertising, marketing, or related areas are valued.

Are You Ready to Make an Impact?

If you are someone who wants to understand the rule and the reason behind it, enjoys solving problems that do not come with a perfect precedent, and can confidently provide guidance while building strong business partnerships, we would like to hear from you.

You will encounter new products, new technologies, new ways of communicating, and questions nobody has asked quite the same way before.

The goal is not simply to review the work. It is to help the firm do the work well—and do it responsibly.

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.