Raymond James

The Lead Senior Advisor executes the risk-based branch exam program for FINRA-registered and non-registered Private Client Group branches, involving detailed documentation of testing activities and communication of findings to management and leadership. Additionally, this role involves training new examiners, providing support to new hires, and assisting managers with exam packet reviews.

The Field Supervision Manager oversees supervisory and risk functions, partnering with management to enforce policies, mitigate risks, and ensure adherence to all relevant laws and regulations. This role involves participating in meetings, facilitating escalated inquiries, assisting with audit preparation, and liaising with Legal and Compliance on sensitive matters.

Field Supervision Manager overseeing supervisory and risk functions at Raymond James

The Law Clerk will support in-house counsel by conducting legal research, potentially updating 50-state surveys, preparing legal memos, and gathering relevant facts and case information. Duties also include reviewing legal agreements and operating standard office equipment.

This role involves servicing high volumes of daily client interactions, including inquiries and scheduling, while providing crucial administrative support to Financial Advisors and branch staff. Key duties include processing financial transactions, opening new accounts, ensuring documentation accuracy, and preparing various reports.

The role involves designing, implementing, and leading the direction of integration platform architecture to ensure stability, resilience, and efficiency, while collaborating with development and architecture teams to support scalable solutions. Responsibilities also include acting as a product owner for IBM integration products, creating standards, managing the product lifecycle, and improving business continuity and disaster recovery designs.

Design the interface between application systems, including those developed in-house, packaged software, and third-party-hosted applications, so that they function holistically in support of the organization's business needs. Document the most complex "as is" and "to be" processe...

This role serves as the first point of contact for high-volume client interactions, handling inquiries, providing quotes, and scheduling meetings across multiple platforms. Key duties include managing and standardizing best practices for activities like new client onboarding, monitoring liquidity events, and executing trades for various investment products.

This role involves managing electronic and high-touch execution for Asia equity flows, maintaining market awareness, and monitoring overnight orders and positions for timely handoffs. Key duties include troubleshooting order lifecycle issues across various systems and supporting portfolio trading activities like coordinating lists and managing allocations.

The specialist plans and implements strategies for recruiting experienced Financial Advisors by cultivating partnerships and managing the entire recruitment process, including initial calls, next steps coordination, and hosting prospects at events. This role involves proactive outreach to long-term candidates, making outbound sourcing calls, and collaborating with the Advisor Recruiting Consultant (ARC) on key stages like Home Office Visits.