Senior Advisor, Branch Manager Supervisory Principal
Raymond James Financial, Inc. • Denver, CO • Posted June 27, 2026
About the Role
**Essential Duties and Responsibilities:**
• Responsible for supervisory oversight of client activity and ensures adherence to firm and regulatory policies and procedures.
• Performs reviews of client accounts and documents that are submitted on behalf of branch managers that require supervisory oversight.
• Educates branch staff associates.
• Escalates concerns to senior management and may propose new policies or procedures regarding risk; adhering to compliance and operational risk controls in accordance with company and regulatory standards.
• Reviews and analyze supervision monitoring reports and systems for suspicious/unusual patterns and follow-up with appropriate individual(s) for explanations and actions.
• Interfaces with business platform division supervision and/or division management associates to apprise them of any supervisory concerns regarding branch offices.
+ Works with division supervision and/or division...
• Responsible for supervisory oversight of client activity and ensures adherence to firm and regulatory policies and procedures.
• Performs reviews of client accounts and documents that are submitted on behalf of branch managers that require supervisory oversight.
• Educates branch staff associates.
• Escalates concerns to senior management and may propose new policies or procedures regarding risk; adhering to compliance and operational risk controls in accordance with company and regulatory standards.
• Reviews and analyze supervision monitoring reports and systems for suspicious/unusual patterns and follow-up with appropriate individual(s) for explanations and actions.
• Interfaces with business platform division supervision and/or division management associates to apprise them of any supervisory concerns regarding branch offices.
+ Works with division supervision and/or division...