Senior Advisor, Supervision - DR/SARC/Money Movement

What You Will Do

• 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.

What Will Help You Succeed

• 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.

Experience and Education

• Required experience: At least three (3) years of Supervision and/or financial services experience, with demonstrated exposure to complex transactions, regulatory requirements, risk assessment, or client account matters.

• Education: A bachelor’s degree in a related discipline, or an equivalent combination of education, experience, and training approved by Human Resources.

• Industry knowledge: Strong knowledge of investments, trading, securities industry regulations, and money movement at a level consistent with Series 24 and/or Series 9/10 licensing requirements.

• Preferred background: Familiarity with Raymond James systems, organizational structure, policies, and operating environment, along with additional relevant regulatory or industry credentials.

Required Licenses and Certifications

• SIE, unless an exemption or grandfathering provision applies.

• Series 7.

• Series 9 and 10; Series 24 may be accepted in lieu of Series 9 and 10.

• Any additional securities licenses required for the assigned functional area must be obtained within the established timeframe.

• Additional licenses or certifications demonstrating relevant regulatory and industry expertise are preferred.

How You Will Work

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.

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.