Senior Advisor, Supervision Banking & Lending

We are seeking a Registered Principal with a passion for solving complex lending challenges, identifying emerging risks, and helping Financial Advisors navigate difficult situations with confidence and sound judgment.

I'm looking for a Senior Advisor, Supervision - Banking & Lending, to join our team.

This role is responsible for the supervision of margin lending and securities-based lending (SBL) activities, including the review of complex lending scenarios, client borrowing practices, collateralized lending relationships, and related banking products. The position partners closely with Financial Advisors, Branch Management, Compliance, Risk, and Raymond James Bank to ensure regulatory compliance while supporting responsible business growth.

The ideal candidate:

🔹 Sees patterns where others see transactions

🔹 Balances regulatory requirements with practical business judgment

🔹 Understands banking, lending, and securities regulations

🔹 Can spot emerging risks before they become problems

🔹 Communicates difficult messages professionally and with confidence

🔹 Partners effectively with advisors, managers, compliance, and business leaders

🔹 Approaches supervision as both a risk discipline and a coaching opportunity

🔹 Uses data, reporting, and analysis to identify trends and drive better outcomes

🔹 Remains calm when navigating complex situations with significant regulatory implications

🔹 Believes protecting clients and enabling responsible growth are not mutually exclusive

You will investigate complex margin and securities-based lending activities, review client borrowing and collateral arrangements, interpret regulatory requirements, identify potential risks, influence business outcomes, and help shape supervisory practices that support both investor protection and business success.

Critical thinking is required. Sound judgment is essential. A healthy skepticism is encouraged. If you're energized by solving difficult problems, influencing outcomes, and helping advisors navigate risk with confidence, we'd love to hear from you.

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.

Licenses/Certifications:

• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.

o SIE required provided that an exemption or grandfathering cannot be applied

o Required to have Series 7, 9, 10 and 63

o Series 24 can be used instead of 9 and 10

o Series 66 can be used instead of 63

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