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Senior Advisor, Supervision – DR/SARC/Money Movement
Raymond James. Review and approve money movement transactions using applicable regulations, firm policies, supporting documentation, and supervisory judgment .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in regulatory compliance, risk assessment, and money movement processes, with strong analytical skills to identify trends and resolve client issues effectively. Possesses clear communication abilities and a collaborative approach to working with internal teams and clients.
Highest-signal resume keywords
Supervision ExperienceRegulatory Requirements KnowledgeRisk Assessment SkillsSeries 7 LicenseCritical Thinking
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Money Movement Transactions ReviewComplex Transactions ExposureClient Account ManagementFraud DetectionACH Setup ReviewDispute ResolutionRegulatory ComplianceRisk AwarenessInvestment KnowledgeSecurities Industry Regulations
Soft Skills
Clear CommunicationProfessional ComposureAttention to DetailCollaboration SkillsJudgment
Certifications & Qualifications
Series 7Series 9Series 10Series 24SIE
Industry Keywords
Financial ServicesMoney MovementClient VerificationSupervisory PracticesRisk Management
About the role
Key responsibilities & impact- Review and approve money movement transactions using applicable regulations, firm policies, supporting documentation, and supervisory judgment
- Identify inconsistencies, unusual circumstances, potential fraud, financial exploitation, and matters requiring investigation or escalation
- Contact clients to verify qualifying disbursements
- Review ACH, Standing Letter of Authorization, and Periodic Payment setups for Branch Manager client accounts
- Monitor the Money Movement Supervision inbox and determine next steps
- Partner with financial advisors, branch managers, regional leadership, Fraud, SARC, and other internal teams
- Explain supervisory concerns, decisions, and required actions clearly
- Maintain current knowledge of regulations, firm policies, and emerging money movement risks
- Investigate customer disputes and evaluate matters involving senior and at-risk clients when assigned
- Identify trends and opportunities to strengthen supervisory practices, processes, controls, policies, and procedures
- Own matters from initial review through documented resolution
- Support or transition among Dispute Resolution, Senior & At-Risk Clients, and Money Movement functions based on business needs
Requirements
What you’ll need- At least three (3) years of Supervision and/or financial services experience
- Demonstrated exposure to complex transactions, regulatory requirements, risk assessment, or client account matters
- Bachelor’s degree in a related discipline, or an equivalent combination of education, experience, and training approved by Human Resources
- 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
- 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
- Critical thinking and sound judgment
- Ability to interpret requirements and apply them to complex or unusual circumstances
- Strong attention to detail and risk awareness
- Ability to manage competing priorities, make timely decisions, and work independently with minimal direct supervision
- Clear written and verbal communication skills
- Professional composure during sensitive, challenging, or high-stakes conversations
- Strong collaboration and relationship-building skills
- Additional relevant regulatory or industry credentials are preferred
Benefits
Comp & perks- Medical, dental, and vision insurance
- 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 option available (posting also identifies the workstyle as hybrid)