Senior Advisor, Branch Manager – Supervisory Principal

Raymond James

Senior Advisor managing supervision of client activity and adherence to policies at Raymond James. Leading compliance efforts and ensuring branch managers' adherence to regulatory standards.

Posted 5/20/2026full-timeRemote • Colorado • 🇺🇸 United StatesSenior💰 $75,000 - $90,000 per yearWebsite

About the role

Key responsibilities & impact

Manages supervisory oversight of branch manager activity
Ensures adherence to firm and regulatory policies and procedures
Reviews and approves client activity for branch managers
Monitors and analyzes supervision reports for suspicious patterns
Communicates with the field regarding regulatory rules and policy changes

Requirements

What you’ll need

Bachelor’s degree (B.A.) from four-year college or university
Minimum of three (3) years’ experience in a financial services firm / supervision
Series 7, 9/10 or 24, 66 or 65/63 required or the ability to obtain within an established timeframe

Benefits

Comp & perks

Medical, dental, and vision insurance
Life insurance
Critical illness and accident insurance
Disability benefits
Retirement savings plan
Paid time off including vacation, holidays, and sick leave
Parental leave

ATS Keywords

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Applicant Tracking System Keywords

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Soft Skills

supervisory oversightcommunicationanalytical skills

Certifications

Series 7Series 9Series 10Series 24Series 66Series 65Series 63