**Essential Duties and Responsibilities** • Serves as a member of the Supervision team in assisting to ensure proper goals and initiatives to achieve strategic supervision program for Fixed Income Sales. • Collects and reviews internal and external market data to ensure compliance with Raymond James trading policies, FINRA requirements and SEC regulations. • Performs surveillance reviews to identify trading, reporting and related exceptions, and uses industry experience to disposition or escalate accordingly. • Identifies problems and recommends sensible solutions and remediation. Conducts follow-ups on corrections regarding areas of Supervision or any potential non-compliance in business areas. • Monitors and keeps up to date with regulations regarding client trades and applies them accordingly. • Oversees Supervision exception reporting processes and determines any corrective actions. • Helps to ensure department has complete and accurate Written Supervisory Procedures per FINRA Rule 3110. • Establishes objectives and develops processes and procedures to ensure adherence to all compliance requirements. • Prepares supervisory reports and ensures they align with Firm policies, practices, and procedures. • Develop strong relationships with Control partners across the organization including the FI Business Unit Risk Manager, Compliance, Legal, Operations and Risk Management departments. • Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** Knowledge of: • Securities trading, Rules and regulations of the Securities Exchange Commission (SEC), and Financial Industry Regulatory Authority (FINRA) • Detailed knowledge of securities supervisory concepts, FINRA Rule 3110 and how it relates to Firm policy and practice. • Proficient in, and understands the regulatory responsibilities of FI Institutional Sales • Company’s working structure, policies, mission, and strategies. Skill in: • High order reasoning and decision-making, involving the interpretation of regulatory rules and compliance policies. • Understanding regulatory rules and regulations and applying to practical and active trading, reporting and processes. • Managing multiple, different relationships effectively • Analytical skill to interpret trends and changes in trading activity. Ability to: • Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently. • Independently manage multiple projects and tasks, • Read, interpret, test and analyze data to understand transaction information is complete and within regulatory guidelines. • Ensure effective coordination between assigned area and other functional areas. • Ability to develop compelling analytical reporting and presentations. • Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently. • Independently manage multiple projects and tasks, while balancing conflicting resources and priority demands. • Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels **Education/Previous Experience** • Bachelor’s degree (B.A) in related discipline and ten (10) years of experience in Supervisory/regulatory functions in the financial services industry. Bachelor’s degree (B.A/B.S.) in a related discipline and minimum of eight (8) years of experience in Supervision and/or the financial services industry. • Relevant regulatory experience, FINRA or SEC. ~or~ • Any equivalent combination of experience, education, and/or training approved by Human Resources. **Licenses/Certifications** • SIE required provided that an exemption or grandfathering cannot be applied. • FINRA Series 7, 24, and 9/10 licenses **Travel Required:** Yes, 20 % of the Time