Job 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.

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 process.
• Disseminates information and documentation to Regional Management and Registrations through firm systems.
• Pro-actively ensures compliance with applicable industry rules (i.e. State, FINRA & SEC) and platform policies and procedures as they apply to the onboarding process.
• Interfaces with specific business platforms and supervision associates to inform them of any supervisory concerns that may arise during the review process and work together with them to address and resolve these concerns.
• Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.
• Interprets, applies and recommends changes to organizational policies and procedures.
• May consult independently with branch managers and recommend actions to ensure compliance with existing rules and regulations as well as prevent potential liability.
• Continually evaluates procedures and provides suggestions and recommendations on how to improve current processes.
• Reviews and updates policies and procedures related to the onboarding process.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

• 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~
• 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 and 24
  • Series 9 and 10 can be obtained instead of 24
   

This is the pay range that Magnit reasonably expects to pay for this position: $30.00/hour - $40.00/hour

Benefits: Medical, Dental, Vision, 401K