Senior Advisor, Supervision - Dispute Resolution (Financial Services)

Location: Hybrid in Saint Petersburg, Florida, United States; Memphis, Tennessee, United States is also listed as an available location. Travel is less than 25%.

Company

Financial services organization focused on client protection, regulatory compliance, risk management, and long-term business stewardship.

What You Will Do

• Investigate client concerns, grievances, complaints, regulatory inquiries, and other matters involving regulatory, litigation, and reputational risk.
• Analyze account activity, communications, documentation, and related records to assess risks and recommend appropriate resolutions.
• Evaluate regulatory reporting obligations, including Form U4 amendments and settlement reporting requirements, using FINRA, SEC, state regulations, and firm policies.
• Collaborate with Financial Advisors, Branch Managers, Divisional Leadership, Compliance, Legal, Risk Management, and other stakeholders.
• Coach and mentor less experienced associates, prepare written analyses and presentations, and advise leadership on findings and recommendations.
• Support cross-training and investigations across Money Movement and Senior & At-Risk Client supervision functions, as business needs require.

Requirements

• Bachelor's degree in a related discipline and at least three years of Supervision and/or financial services industry experience, or an equivalent combination of education, training, and experience.
• Strong understanding of supervision, securities industry regulations, compliance, banking and financial services operations, and retail activity oversight.
• Strong analytical and investigative skills, sound judgment, and risk-assessment capabilities.
• Ability to independently manage multiple priorities and complex assignments.
• Strong written, verbal, presentation, and relationship-building skills across all organizational levels.
• Ability to enforce policies and procedures while maintaining effective business partnerships.
• Attention to detail, commitment to regulatory excellence, adaptability, and willingness to expand expertise across multiple supervision disciplines.

Nice to Have

• Experience handling complex investigations, regulatory inquiries, or supervisory matters.
• SIE and Series 7 securities licenses for the assigned functional area, or the ability to obtain them within 120 days.
• Additional licenses or certifications demonstrating expertise in supervision, regulation, compliance, or risk management.

Culture & Benefits

• Hybrid workstyle with support for cross-functional collaboration and professional development.
• Benefits may include medical, dental, vision, life, critical illness, accident, disability, retirement savings, paid time off, holidays, sick leave, and parental leave.
• Work guided by client-first, integrity, independence, and long-term decision-making values.
• Emphasis on developing professionally, collaborating broadly, taking ownership, delivering results, and continuous improvement.
• People-first environment focused on respecting associates' uniqueness, experiences, and backgrounds.