Job Description Summary Job Description We are seeking a Registered Principal with a passion for solving complex lending challenges, identifying emerging risks, and helping Financial Advisors navigate difficult situations with confidence and sound judgment. I'm looking for a Senior Advisor, Supervision - Banking & Lending, to join our team. This role is responsible for the supervision of margin lending and securities-based lending (SBL) activities, including the review of complex lending scenarios, client borrowing practices, collateralized lending relationships, and related banking products. The position partners closely with Financial Advisors, Branch Management, Compliance, Risk, and Raymond James Bank to ensure regulatory compliance while supporting responsible business growth. The ideal candidate: 🔹 Sees patterns where others see transactions 🔹 Balances regulatory requirements with practical business judgment 🔹 Understands banking, lending, and securities regulations 🔹 Can spot emerging risks before they become problems 🔹 Communicates difficult messages professionally and with confidence 🔹 Partners effectively with advisors, managers, compliance, and business leaders 🔹 Approaches supervision as both a risk discipline and a coaching opportunity 🔹 Uses data, reporting, and analysis to identify trends and drive better outcomes 🔹 Remains calm when navigating complex situations with significant regulatory implications 🔹 Believes protecting clients and enabling responsible growth are not mutually exclusive You will investigate complex margin and securities-based lending activities, review client borrowing and collateral arrangements, interpret regulatory requirements, identify potential risks, influence business outcomes, and help shape supervisory practices that support both investor protection and business success. Critical thinking is required. Sound judgment is essential. A healthy skepticism is encouraged. If you're energized by solving difficult problems, influencing outcomes, and helping advisors navigate risk with confidence, we'd love to hear from you. Educational/Previous Experience Requirements: · 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~ · An equivalent combination of experience, education, and/or training. Licenses/Certifications: · Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe. o SIE required provided that an exemption or grandfathering cannot be applied o Required to have Series 7, 9, 10 and 63 o Series 24 can be used instead of 9 and 10 o Series 66 can be used instead of 63 · Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred. Education Work Experience Certifications Travel Less than 25% Workstyle Hybrid The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com. At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to: • Grow professionally and inspire others to do the same • Work with and through others to achieve desired outcomes • Make prompt, pragmatic choices and act with the client in mind • Take ownership and hold themselves and others accountable for delivering results that matter • Contribute to the continuous evolution of the firm At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. #LI-AF1 Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.

Senior Advisor, Supervision Banking & Lending.

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