Raymond James Financial, Inc

Senior Advisor, Supervision - DR/SARC/Money Movement

Raymond James Financial, Inc • $80K — $95K *
Memphis, TN 38109In-Person
Finance & Insurance
Less than 5 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's degree in a related field or equivalent experience
  • Minimum 3 years in Supervision or financial services
  • Focus on fraud detection and financial exploitation
  • Ability to obtain required licenses including SIE, Series 7, 9, 10, or Series 24
  • Strong analytical skills with attention to detail
  • Proficient in regulatory frameworks and internal policies
  • Experience with investigations involving sensitive client situations

Responsibilities

  • Review and approve daily money movement transactions
  • Investigate and escalate potential fraud or unusual circumstances
  • Contact clients for transaction verification as needed
  • Evaluate complex account matters in partnership with advisors and leadership
  • Monitor and assess money movement supervision inquiries independently
  • Clearly communicate supervisory decisions and required actions
  • Identify trends and enhance supervisory practices

Benefits

  • Medical, dental, and vision insurance
  • Life, critical illness, and accident insurance
  • Disability benefits
  • Retirement savings plan
  • Paid time off including vacation and holidays
  • Parental leave
  • Hybrid work environment
Full Job Description
Job Description Summary
Complex transactions. Sensitive client circumstances. Decisions that matter.

The Senior Advisor, Supervision helps protect Raymond James clients and the firm by reviewing money movement activity, identifying potential fraud or financial exploitation, and resolving supervisory matters that do not always have a straightforward answer. This role is for someone who remains calm under pressure, follows the facts, exercises sound judgment, and communicates decisions clearly.

You will independently review and approve day-to-day money movement activity while partnering with financial advisors, branch and regional leadership, Fraud, and other teams to investigate concerns and determine appropriate action. You may also be cross-trained to support Dispute Resolution (DR) and Senior & At-Risk Clients (SARC) and may transition temporarily or permanently among these functions based on business needs. The work can be complex-but it makes a meaningful difference.

Job Description

Essential Duties and Responsibilities:
  • Review and approve money movement transactions using applicable regulations, firm policies, supporting documentation, and sound supervisory judgment.
  • Follow the facts to identify inconsistencies, unusual circumstances, potential fraud or financial exploitation, and matters requiring investigation or escalation.
  • Contact clients to verify disbursements that meet established thresholds or when circumstances warrant additional confirmation.
  • Review ACH, Standing Letter of Authorization (SLOA), and Periodic Payment setups for Branch Manager client accounts; communicate findings and address identified concerns.
  • Monitor the Money Movement Supervision inbox, assess next steps independently, and escalate issues when appropriate.
  • Partner with financial advisors, branch managers, regional leadership, Fraud, SARC, and other internal teams to resolve complex account matters.
  • Explain supervisory concerns, decisions, and required actions clearly-even when the conversation is sensitive or the answer is not the one requested.
  • Maintain current knowledge of regulations, firm policies, and emerging money movement risks and apply that knowledge consistently.
  • When assigned, investigate customer disputes and evaluate matters involving senior and at-risk clients.
  • Identify trends, recurring issues, and opportunities to strengthen supervisory practices, processes, controls, policies, and procedures.
  • Take ownership of matters from initial review through documented resolution and perform other responsibilities as assigned.


Skill In:
  • Critical thinking and sound judgment, including the ability to interpret requirements and apply them to complex or unusual circumstances.
  • A disciplined eye for detail and risk, balanced with practical consideration for workflow and the client and advisor experience.
  • The ability to manage competing priorities, make timely decisions, and work independently with minimal direct supervision.
  • Clear, confident written and verbal communication with clients, financial advisors, branch managers, regional leadership, and internal partners.
  • Professional composure during sensitive, challenging, or high-stakes conversations.
  • Strong collaboration and relationship-building skills across business units and differing perspectives.
  • A commitment to high-quality service without compromising supervisory standards or risk controls.


Ability To:
  • Follow the evidence: Investigate complex transactions and client circumstances, connect relevant facts, and reach well-supported conclusions.
  • Communicate with clarity: Explain concerns, decisions, required actions, and supporting rationale in a direct, respectful, and well-documented manner.
  • Use sound judgment: Balance regulatory requirements, client circumstances, firm exposure, and probable consequences; recognize when further investigation or escalation is needed.
  • Build expertise: Maintain strong technical knowledge and continue developing capability across Money Movement, Dispute Resolution, and Senior & At-Risk Client matters.
  • Partner effectively: Build trust across Supervision, Operations, Fraud, branches, and regional leadership, and work through differing perspectives to reach appropriate outcomes.
  • See the broader risk: Look beyond an individual transaction when circumstances may indicate fraud, financial exploitation, inappropriate activity, or another heightened concern.
  • Own the outcome: Carry matters from initial review through resolution, manage priorities independently, follow through, and document decisions and actions completely.
  • Adapt and learn: Respond effectively to changing priorities, regulations, emerging risks, and business needs, including assignments across DR, SARC, and Money Movement.


Educational/Previous Experience Requirements:
• 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 approved by Human Resources.

Licenses/Certifications:

  • Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
    • SIE required provided that an exemption or grandfathering cannot be applied.
    • Required to have a Series 7, 9 and 10
    • Series 24 can be used instead of the 9 and 10
  • Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.


Are You Ready to Make an Impact?

If you are curious, composed, and willing to make well-reasoned decisions when the path is not obvious, we would like to hear from you. The work will not always be easy-but it will matter.

Education

Work Experience

Certifications

Travel
Less than 25%

Workstyle
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.

About Raymond James Financial, Inc

The Raymond James Technology and Communications Investment Banking Group is a committed and thoughtful partner that provides a full range of investment banking services and best practices. The group is comprised of experienced professionals that have extensive investment banking expertise. They leverage the industry expertise of Raymond James' award-winning research department. The group focuses on key sectors within technology and communications including: communications software, communication towers, defense electronics, enterprise software, internet infrastructure services, homeland security, IT services, mobile technology, semiconductors, software-as-a-service, telecommunications equipment, telecommunications infrastructure and support services, and wireless & wireline telecommunications services. They take pride in a client-centric approach to M&A, with focus on delivering independent solutions that creates value for the long term. The outcome of this unique approach may be seen in the successful transactions of their clients, including over 80 public offerings totaling $17 billion and over 85 strategic advisory transactions totaling over $5 billion in value since 1998.

Raymond James Financial, Inc Careers

Join the vibrant team at Raymond James Financial, Inc, a leading financial services company where innovation, leadership, and professional growth are at the forefront of our operations. As a hub of diversity and expertise, Raymond James offers unparalleled job opportunities that propel your career to new heights. Work You’ll Do At Raymond James Financial, Inc, you’ll collaborate with some of the most talented professionals in the financial industry. Our team is dedicated to providing strategic financial solutions and advice to our clients, helping them achieve their financial goals while fostering economic growth. With a culture rooted in leadership and diversity training, Raymond James is the perfect place to enhance your skills and thrive professionally. Join our market-leading team to assist a diverse range of clients, from individuals to large corporations, in navigating their financial planning with precision and innovative strategies. Lead in a role where your expertise directly influences the success and stability of our clients' financial futures. Work with a dynamic team of advisors and experts who are committed to pushing the boundaries of the financial sector through continuous innovation and exceptional client service. Raymond James Financial, Inc Job Opportunities Introducing the Raymond James Career Development Program We are committed to nurturing talent through our comprehensive career development program designed to provide every employee—from interns to senior leaders—with the tools and training necessary for success. Whether you’re just starting out with an internship or you’re a seasoned professional, Raymond James offers career paths that align with your ambitions and skills. Do Innovative Work Join a company where innovation is part of the daily routine. At Raymond James Financial, Inc, you’ll engage with cutting-edge financial tools and resources that keep you ahead in the industry. Our commitment to technology and innovation ensures that we stay at the forefront of financial services. Be Part of a Great Team Experience a collaborative environment where teamwork and networking are encouraged. Our inclusive culture supports diversity and offers benefits that ensure the well-being of all team members. At Raymond James, you’re not just an employee; you’re part of a family that values your unique contributions and supports your professional journey. Future-Proof Your Career Advance your career with Raymond James, where opportunities for growth are abundant. Benefit from our industry-leading training programs and gain certifications that will elevate your professional standing. With a focus on career longevity and satisfaction, Raymond James ensures that your professional journey is as rewarding as it is successful. Explore Discover the various positions available at Raymond James Financial, Inc that match your skills and interests. We are continuously hiring across multiple disciplines, eager to welcome passionate, curious, and solution-driven team players. Stay Connected Join Our Team Search open positions at Raymond James Financial, Inc and find the perfect match for your career aspirations. Explore a range of opportunities from financial advising to corporate roles that align with your professional skills and goals. Keep Up to Date Stay informed with the latest career tips, insider perspectives, and industry-leading insights—all from the professionals who thrive at Raymond James. Job Alert Emails Customize your subscription to receive job alerts, latest news, and insider tips tailored to your preferences. Discover the exciting and rewarding career opportunities waiting for you at Raymond James Financial, Inc. Join Raymond James Financial, Inc today and be part of a company that values innovation, leadership, and professional growth. Your future in the financial industry starts here.
Learn more about Raymond James Financial, Inc
Size
15,000 employees
Market Cap
$22.6 billion
Industry
Finance & Insurance
Net Income
$862 million
5 Year Trend
+11.6%
Revenue
$8.3 billion
NASDAQ
RJF
* Ladders Estimates

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