Senior Associate, Supervision- Social Media

📌 Core Information

🔹 Job Title: Senior Associate, Supervision - Social Media

🔹 Company: Raymond James

🔹 Location: Saint Petersburg, FL - 880 Carillon Pkwy Tower 3

🔹 Job Type: Full-Time

🔹 Category: Financial Services

🔹 Date Posted: 2025-07-18

🔹 Experience Level: 2-5 years

🔹 Remote Status: Hybrid

🚀 Job Overview

Key aspects of this role include:

• Conducting ongoing electronic communications reviews to ensure compliance with SEC regulations
• Identifying and escalating correspondence-related issues
• Communicating findings and managing concerns professionally
• Interfacing with senior advisors and management to mitigate supervisory concerns
• Performing other duties and responsibilities as assigned

ASSUMPTION: This role requires a strong attention to detail, excellent communication skills, and the ability to work independently with minimal supervision.

📋 Key Responsibilities

✅ Monitor and investigate electronic branch or home office communications through various reports and systems

✅ Proactively monitor and ensure discussions pertaining to activities in clients’ accounts and activities of financial advisors meet firm requirements and standards

✅ Communicate findings and manage concerns in a professional manner, both written and orally

✅ Interface with senior advisors and management to mitigate supervisory concerns regarding branch office managers/financial advisors and work together to address these concerns

✅ Perform other duties and responsibilities as assigned

✅ Conduct outreach to monitored staff related to confirmed issues or inquiries

ASSUMPTION: This role involves a high level of detail-oriented work and requires the ability to interpret regulatory rules and compliance policies.

🎯 Required Qualifications

Education: Bachelor’s degree (B.A) in a related discipline in retail securities sales, sales management, operations, or compliance

Experience: 2-5 years of experience in a related field

Required Skills:

• Knowledge of operating standard office equipment and using required software applications
• Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies
• Detail orientation to ensure the regulatory liability is limited, without impairing workflow
• Utilizing business-appropriate phone manners
• Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers/Financial Advisors
• Establish and communicate clear directions and priorities
• Provide a high level of customer service

Preferred Skills:

• SIE certification

ASSUMPTION: While not explicitly stated, it is assumed that candidates with relevant experience in the financial services industry or a related field will be preferred.

💰 Compensation & Benefits

Salary Range: $55,000 - $65,000 per year

Benefits:

• Health, dental, and vision insurance
• 401(k) plan with company match
• Paid time off (vacation, sick, and holidays)
• Employee assistance program
• Tuition reimbursement
• Employee discounts on various services and products

Working Hours: Full-time, typically Monday-Friday, 8:30am-5:00pm EST, with flexibility for hybrid work arrangement

ASSUMPTION: The salary range provided is an estimate based on industry standards for similar roles and experience levels. Benefits information is based on typical benefits packages offered by companies of similar size and industry.

📌 Applicant Insights

🔍 Company Context

Industry: Raymond James is a diversified holding company providing financial services to individuals, corporations, and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management.

Company Size: Raymond James has over 10,000 employees, providing a large and diverse work environment.

Founded: 1962, with a history of growth and expansion in the financial services industry.

Company Description:

• Raymond James is committed to putting the power of perspectives into action and building an inclusive and diverse workforce
• The company offers opportunities for associate development and growth through developmental programs, mentorships, and continuing education options
• Raymond James is recognized nationally for its community support and corporate philanthropy

Company Specialties:

• Personal Investing
• Capital Markets
• Banking

Company Website: raymondjames.com

ASSUMPTION: Raymond James is a well-established company with a strong reputation in the financial services industry. The company's commitment to associate development and growth is a significant advantage for employees.

📊 Role Analysis

Career Level: This role is at the senior associate level, indicating a mid-level position with significant responsibilities and opportunities for growth.

Reporting Structure: This role reports directly to the Supervision department and works closely with business units to proactively mitigate risk.

Work Arrangement: This role is a hybrid position, with a combination of on-site and remote work.

Growth Opportunities:

• Advancement to management or senior leadership positions within the Supervision department or other business units
• Expansion of responsibilities and expertise through mentorships, training, and development programs
• Opportunities to work on high-impact projects and initiatives

ASSUMPTION: This role provides significant opportunities for career growth and development within the company.

🌍 Location & Work Environment

Office Type: Raymond James has a hybrid work environment, with a combination of on-site and remote work.

Office Location(s): Saint Petersburg, FL - 880 Carillon Pkwy Tower 3

Geographic Context:

• Saint Petersburg is located on the Gulf Coast of Florida, offering a subtropical climate and numerous cultural attractions
• The city has a diverse population and a strong job market, with a growing number of companies in the financial services industry
• The cost of living in Saint Petersburg is relatively affordable compared to other major cities in Florida

Work Schedule: Full-time, typically Monday-Friday, 8:30am-5:00pm EST, with flexibility for hybrid work arrangement

ASSUMPTION: The hybrid work arrangement provides a good balance between on-site collaboration and remote flexibility.

💼 Interview & Application Insights

Typical Process:

• Online application submission
• Phone or video screening
• In-person or virtual interview with hiring manager and/or team members
• Background check and reference check
• Job offer and onboarding

Key Assessment Areas:

• Technical skills and knowledge of regulatory rules and compliance policies
• Attention to detail and ability to work independently
• Communication and interpersonal skills
• Problem-solving and decision-making abilities

Application Tips:

• Tailor your resume and cover letter to highlight relevant skills and experiences for this role
• Demonstrate your attention to detail and ability to work independently in your application materials
• Prepare for behavioral interview questions that focus on your problem-solving and communication skills

ATS Keywords: Compliance, Critical Thinking, Decision Making, Detail Orientation, Interpersonal Skills, Communication, Project Management, Customer Service, SEC Regulations, Electronic Communications

ASSUMPTION: The application process for this role is likely to be competitive, and candidates should emphasize their relevant skills and experiences in their application materials.

🛠️ Tools & Technologies

• Microsoft Office Suite (Word, Excel, PowerPoint)
• Various reporting and communication systems
• Regulatory compliance software

ASSUMPTION: The specific tools and technologies used in this role may vary depending on the department and business unit.

👔 Cultural Fit Considerations

Company Values:

• Client-first
• Integrity
• Independence
• Conservative, long-term view

Work Style:

• Collaborative and team-oriented
• Focused on delivering results that matter
• Committed to continuous improvement and growth

Self-Assessment Questions:

• Do you have a strong attention to detail and the ability to work independently?
• Are you comfortable working in a collaborative and team-oriented environment?
• Do you have a conservative, long-term view and a commitment to integrity?

ASSUMPTION: Candidates who align with Raymond James' core values and work style are likely to be a good fit for this role.

⚠️ Potential Challenges

• The high level of detail-oriented work may require long hours and close attention to regulatory requirements
• The hybrid work arrangement may present challenges in maintaining work-life balance
• The competitive nature of the financial services industry may present challenges in career advancement
• The dynamic nature of regulatory requirements may require ongoing learning and adaptation

ASSUMPTION: These challenges are common to roles in the financial services industry and can be mitigated with strong communication, time management, and adaptability skills.

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