Senior Advisor, Supervision – Advertising Review

Raymond James

. Serve as a trusted supervision partner to financial advisors, Marketing, Home Office departments, and other business areas .

Posted 10/6/2026full-timeRemote • Illinois • United StatesSenior💰 $80,000 - $90,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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

Demonstrates expertise in Compliance and Supervision within financial services, with a strong understanding of SEC and FINRA regulations. Capable of providing guidance, mentoring team members, and implementing effective supervision programs and controls.

Highest-signal resume keywords

Compliance ExperienceSupervision KnowledgeSEC and FINRA RegulationsSeries 7, Series 65/66, Series 24Risk Assessment

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Regulatory ResearchAdvertising and Marketing ComplianceSupervisory ControlsQuality Assurance PracticesFinancial Markets KnowledgeInvestment Products KnowledgeControl FrameworksDefensible RecommendationsProject ManagementEmerging Communication Technologies

Soft Skills

Relationship BuildingMentoringCommunicationProblem SolvingPrioritization

Certifications & Qualifications

Series 7Series 65Series 66Series 24

Industry Keywords

Financial ServicesBroker-DealerAdvertising RegulationsMarketing CommunicationsCompliance PracticesRisk-Based SupervisionEscalated GuidanceTraining OpportunitiesControl GapsEmerging Trends

About the role

Key responsibilities & impact

Serve as a trusted supervision partner to financial advisors, Marketing, Home Office departments, and other business areas
Review complex or escalated advertising and marketing materials using applicable regulations, firm policies, supporting information, and supervisory judgment
Research regulatory and supervisory questions and translate requirements into practical guidance
Evaluate matters without clear existing rules, policies, or precedents and develop recommendations for resolution
Partner with Supervision, Compliance, Legal, Marketing, business units, and internal teams on complex matters
Oversee and support supervision programs, processes, and controls for assigned business areas
Identify emerging trends, recurring issues, control gaps, and training opportunities
Recommend and implement improvements to supervision programs, policies, procedures, controls, technology, and training
Provide escalated guidance and mentor less experienced team members
Assess and escalate potential regulatory, supervisory, or firm risk
Support quality assurance and controls addressing supervision or compliance concerns
Prepare and deliver recommendations, presentations, training, and communications to business partners and senior management
Support regulatory inquiries and examinations, including coordinating information and documentation
Maintain current knowledge of SEC, FINRA, state regulatory requirements, firm policies, industry developments, and emerging communication technologies
Own complex matters from initial question through documented resolution

Requirements

What you’ll need

Bachelor’s degree (B.A./B.S.) and a minimum of three (3) years of Compliance, Supervision, or relevant financial services experience
Equivalent combination of experience, education, and/or training approved by Human Resources
Series 7, Series 65/66, and Series 24 required, or ability to obtain required licenses within an established timeframe
Knowledge of SEC, FINRA, and applicable state securities rules and regulations governing broker-dealer advertising, marketing, and communications
Knowledge of financial services supervision and compliance practices, including risk-based supervisory controls
Knowledge of financial markets, investment products, and securities industry operations
Knowledge of advertising, marketing, social media, digital communications, and emerging communication channels within financial services
Knowledge of supervisory policies, procedures, quality assurance practices, and control frameworks
Ability to interpret advertising and communications requirements in complex circumstances
Ability to research regulatory and supervisory issues and develop clear, defensible recommendations
Ability to manage competing priorities and independently advance multiple projects, reviews, and escalated matters
Ability to build productive relationships across Supervision, Compliance, Legal, Marketing, Home Office departments, and other business areas
Ability to assess risk, reach well-supported conclusions, and escalate matters when appropriate
Ability to coach or mentor less experienced team members

Benefits

Comp & perks

Medical, dental, and vision benefits
Life insurance
Critical illness insurance
Accident insurance
Disability benefits
Retirement savings
Paid time off, including vacation, holidays, and sick leave
Parental leave
Less than 25% travel
Remote workstyle