We are seeking a Registered Principal with a passion for solving complex lending challenges, identifying emerging risks, and helping Financial Advisors navigate difficult situations with confidence and sound judgment.
I'm looking for a Senior Advisor, Supervision - Banking & Lending, to join our team.
This role is responsible for the supervision of margin lending and securities-based lending (SBL) activities, including the review of complex lending scenarios, client borrowing practices, collateralized lending relationships, and related banking products. The position partners closely with Financial Advisors, Branch Management, Compliance, Risk, and Raymond James Bank to ensure regulatory compliance while supporting responsible business growth.
The ideal candidate:
🔹 Sees patterns where others see transactions
🔹 Balances regulatory requirements with practical business judgment
🔹 Understands banking, lending, and securities regulations
🔹 Can spot emerging risks before they become problems
🔹 Communicates difficult messages professionally and with confidence
🔹 Partners effectively with advisors, managers, compliance, and business leaders
🔹 Approaches supervision as both a risk discipline and a coaching opportunity
🔹 Uses data, reporting, and analysis to identify trends and drive better outcomes
🔹 Remains calm when navigating complex situations with significant regulatory implications
🔹 Believes protecting clients and enabling responsible growth are not mutually exclusive
You will investigate complex margin and securities-based lending activities, review client borrowing and collateral arrangements, interpret regulatory requirements, identify potential risks, influence business outcomes, and help shape supervisory practices that support both investor protection and business success.
Critical thinking is required. Sound judgment is essential. A healthy skepticism is encouraged. If you're energized by solving difficult problems, influencing outcomes, and helping advisors navigate risk with confidence, we'd love to hear from you.
· Bachelor’s degree (B.A) in a related discipline and a minimum of three (3) years of experience in Supervision and/or the financial services industry.
~or~
· An equivalent combination of experience, education, and/or training.
· Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
o SIE required provided that an exemption or grandfathering cannot be applied
o Required to have Series 7, 9, 10 and 63
o Series 24 can be used instead of 9 and 10
o Series 66 can be used instead of 63
· Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
Less than 25%
Hybrid
The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.
At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
We expect our associates at all levels to:
At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
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Founded in 1962 and a public company since 1983, Raymond James Financial, Inc. is a Florida-based 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. The firm's stock is traded on the New York Stock Exchange (RJF).
Through its three broker/dealer subsidiaries, Raymond James Financial has approximately 8,700 financial advisors throughout the United States, Canada and overseas. Total client assets are $1.26 trillion (as of 10/25/2023).
Raymond James has been recognized nationally for its community support and corporate philanthropy. The company has been ranked as one of the best in the country in customer service, as a great place to work and as a national leader in support of the arts.
