Senior Advisor, Supervision- Onboarding

Job description

Job Description Summary The Onboarding team provides expertise in reviewing registered persons prior to affiliating with/joining Raymond James. The Senior Advisor of this team will work in partnership with Regional Management and Registrations to obtain required onboarding documentation, review the obtained documentation, identify irregularities or potential regulatory and policy issues, and provide guidance related to the registered persons affiliation with Raymond James. Some guidance is provided to perform varied work that is comprehensive in nature and which requires evaluation, originality and ingenuity to make moderately complex decisions. The candidate will need to resolve and/or recommend solutions to complex problems. Leads defined work or projects which may entail considerable scope and complexity. Maintains extensive contact with internal customers to identify, research, and resolve problems. Job Description: Essential Duties and Responsibilities: - Provide onboarding documentation to prospective Advisors and other registered persons. - Obtain and review completed onboarding documentation while providing guidance on any identified issues that arise during the review proc...