Manager, Supervision – Advertising Review

Raymond James

. Lead and develop a team responsible for reviewing advertising, social media, and other communications .

Posted 11/5/2026full-timeRemote • Colorado • United StatesMid-LevelSenior💰 $100,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in regulatory compliance and supervision within the financial services industry, with a strong focus on training, team leadership, and strategic initiative contributions.

Highest-signal resume keywords

FINRA Series 7 LicenseFINRA Series 24 LicenseFINRA Series 66 LicenseRegulatory KnowledgePerformance Evaluation

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

SupervisionRegulatory InterpretationAdvertising ReviewProcess ImprovementTraining DevelopmentRisk ManagementProject ManagementCompliance OversightWorkflow StreamliningPerformance Management

Soft Skills

CoachingCommunicationProblem-SolvingDecision-MakingTeam Leadership

Industry Keywords

Financial ServicesFINRA Rule 2210SEC Advertising RequirementsInvestment Company Act of 1940Investment Advisers Act of 1940ERISA RequirementsDepartment of Labor Requirements

About the role

Key responsibilities & impact

Lead and develop a team responsible for reviewing advertising, social media, and other communications
Coach, guide, and provide ongoing feedback to associates
Partner with Financial Advisors, branch leadership, Marketing, Compliance, Legal, and other business partners
Apply regulatory knowledge and judgment to complex or unique advertising scenarios
Oversee reviews of advisor-created advertising, social media, and other communications
Identify workflow improvements, streamline processes, and promote consistent supervisory decisions
Contribute to strategic initiatives, technology enhancements, policy development, and modernization projects
Develop and deliver training and communicate regulatory expectations
Resolve escalations, identify emerging risks, and develop practical solutions
Oversee daily workloads, evaluate performance, identify development opportunities, and support hiring and other people-management responsibilities

Requirements

What you’ll need

Bachelor's degree in a related field and a minimum of six years of experience in Supervision and/or the financial services industry; or an equivalent combination of education, experience, and training approved by Human Resources
FINRA Series 7, 24, and 66 licenses required for the assigned functional area
Strong understanding of FINRA Rule 2210, SEC advertising requirements, and other regulations applicable to financial services communications
Knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, and applicable ERISA and Department of Labor requirements
Ability to interpret complex regulatory requirements and translate them into clear, practical guidance
Ability to navigate ambiguity, balance competing priorities, and make thoughtful, risk-based decisions
Ability to manage multiple priorities and complex projects while maintaining attention to detail and commitment to quality
Additional licenses or certifications demonstrating expertise in securities regulation and related industry concepts are preferred

Benefits

Comp & perks

Medical, dental, and vision benefits
Life insurance
Critical illness insurance and accident insurance
Disability benefits
Retirement savings
Paid time off, including vacation, holidays, and sick leave
Parental leave
Additional compensation may include cash or equity, discretionary bonuses, or commissions
Remote workstyle
Less than 25% travel