Advisor, Supervision- Advertising Review

Job Description Summary Complex communications. Evolving regulations. Business partners who need an answer. The Advisor, Supervision helps protect Raymond James clients and the firm by providing experienced supervisory guidance over advertising, marketing, and communications across the organization. This role is for someone who can interpret the rules, understand the business, exercise sound judgment, and find a practical path forward when the answer is not obvious. You will serve as a trusted supervision partner to PCG Branches, Marketing, Home Office departments, and/or other business areas, reviewing complex communications, researching regulatory questions, resolving escalated matters, and helping ensure supervisory programs and controls keep pace with an evolving business and regulatory environment. The role goes beyond reviewing whether something is compliant. You will help teams understand why, identify emerging risks and trends, recommend improvements to policies and processes, and work across the organization to solve problems before they become bigger ones. The work requires technical expertise, curiosity, good judgment, and the confidence to make a decision. Sometimes the answer is straightforward. Sometimes you will be helping define it. Job Description Essential Duties and Responsibilities Serve as a trusted supervision partner to financial advisors on advertising, marketing, social media, and communications-related matters. Review complex or escalated advertising and marketing materials using applicable regulations, firm policies and procedures, supporting information, and sound supervisory judgment. Research regulatory and supervisory questions and translate requirements into practical guidance for business partners. Evaluate matters that do not fit neatly within an existing rule, policy, or precedent and develop well-supported recommendations for resolution. Partner across Supervision, Compliance, Legal, Marketing, business units, and other internal teams to resolve complex or sensitive matters. Oversee and support supervision programs for assigned business areas, helping ensure supervisory processes and controls are appropriately aligned with business activities and risk. Identify emerging trends, recurring issues, and opportunities to strengthen supervisory practices, controls, policies, procedures, and training. Recommend and help implement changes to supervision programs, policies, procedures, and controls as business practices, technology, and regulatory expectations evolve. Provide escalated guidance to supervision associates and business partners and coach or mentor less experienced team members. Assess potential regulatory, supervisory, or firm risk and appropriately escalate matters involving potential rule violations or liability. Support quality assurance and other controls designed to identify and address potential supervision or compliance concerns. Prepare and deliver written recommendations, presentations, training, and other communications to business partners and senior management. Support regulatory inquiries or examinations involving assigned areas, including coordinating information and documentation when appropriate. Maintain current knowledge of applicable SEC, FINRA, state regulatory requirements, firm policies, industry developments, and emerging communication channels and technologies. Take ownership of complex matters from initial question through documented resolution and perform other responsibilities as assigned. Skill In Critical thinking and sound supervisory judgment, particularly when regulations, policies, business needs, and facts do not produce an immediately obvious answer. Interpreting advertising and communications requirements and applying them to new, complex, or unusual circumstances. Identifying risk without losing sight of practical business considerations, workflow, and the advisor and client experience. Researching complex regulatory and supervisory issues and developing clear, defensible recommendations. Communicating complex requirements in a way that is understandable, practical, and actionable. Managing competing priorities and independently advancing multiple projects, reviews, and escalated matters. Building productive relationships across Supervision, Compliance, Legal, Marketing, Home Office departments, and other business areas. Identifying trends and translating individual issues into broader improvements to controls, processes, policies, or training. Providing high-quality service without compromising supervisory standards or regulatory requirements. Ability To Interpret the gray: Apply regulatory requirements, firm policies, precedent, and sound judgment when a matter does not have a simple yes-or-no answer. Explain the why: Communicate supervisory concerns, decisions, required changes, and supporting rationale clearly enough that business partners understand both the answer and the reasoning behind it. Find the path forward: Identify compliant and practical alternatives when the original approach does not work rather than stopping at “no.” See beyond the submission: Recognize when an individual review or question points to a broader risk, control gap, training need, or opportunity to improve a supervisory program. Be the expert in the room: Develop and maintain strong knowledge of advertising and communications regulation, financial products, industry practices, emerging technologies, and firm requirements. Partner without compromising: Build trusted relationships with business partners and work through differing perspectives while maintaining appropriate supervisory standards. Make the call: Gather the relevant facts, assess risk, reach a well-supported conclusion, and recognize when a matter requires additional expertise or escalation. Make supervision better: Challenge processes that no longer make sense, identify opportunities for improvement, and help evolve policies, procedures, controls, technology, and train