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Raymond James · 2 hours ago

Supervision Manager, Supervisory Solutions

St. Petersburg, FL

Full-time

Hybrid

Senior Level

6+ years exp

Raymond James is a financial services firm that is seeking a Supervision Manager for their Supervisory Solutions team. This role is responsible for managing supervision oversight, ensuring compliance with firm and regulatory policies, and providing support to financial advisors and registered sales assistants.

BankingFinancial ServicesInformation TechnologyInsuranceWealth Management

Growth Opportunities

Responsibilities

Responsible for supervision oversight and ensuring adherence to firm and regulatory policies and procedures

Perform reviews of client accounts and documents submitted by the branch

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

Review and analyze monitoring reports and systems for suspicious/unusual patterns and follow-up with appropriate individual(s) for explanations and actions

Coordinates registrations, continuing education, licensing, etc. of branch personnel

Oversees branch activities

Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise with branch offices and work together with them to address and resolve these concerns

Implements and enforces policies and procedures for all business platform branch office locations not currently staffed with a licensed and qualified branch manager by serving as the designated manager or branch manager delegate of these OSJ locations

Monitors and keeps up to date with securities/advisory regulations and applies them accordingly

Interprets, applies and recommends changes to organizational policies and procedures while adhering to compliance and operational risk controls in accordance with company and regulatory standards

Handles all administrative matters in the hiring/termination of FA and their transition in and out of the branches

Monitors Supervisory Center alerts and handles any necessary follow-up

Researches and resolves complex problems relating to clients’ accounts and inquiries

Identify needs of the team and find solutions to complex issues

Communicates with the field regarding regulatory rules and firm policy changes

Serve as the face of the organization and advocate for the branches we oversee

Ensure any identified policy violations or branch deficiencies are addressed with the branch and fully remediated

Travel to branch locations to perform required annual Branch Manager Supervisory Visits

Performs other duties and responsibilities as assigned

Qualification

Financial services supervisionRegulatory complianceInvestment conceptsAnalytical skillsEffective communicationLeadershipCustomer serviceProblem resolutionOffice software proficiencyTactDiplomacyPresentation skillsTime managementTeam collaboration

Required

Bachelor's degree (B.A.) from four-year college or university, and a minimum of six (6) years' experience in a financial services firm / supervision

SIE required provided that an exemption or grandfathering cannot be applied

Series 7, 9/10 or 24, 66 or 63/65 required

Extensive knowledge of company policies and procedures and industry rules and regulations

Knowledge of investment concepts, practices and procedures used in the securities industry, financial markets and financial products

Skill in operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases

Skill in preparing and delivering clear, effective, and professional presentations

Skill in identifying the needs of customers through effective questioning and listening techniques

Skill in handling stressful situations and leading others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude

Skill in projecting a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment

Skill in employing good analytical skills to be able to research and resolve problems

Skill in establishing and communicating clear directions and priorities

Skill in utilizing good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel

Skill in establishing and maintaining a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes

Skill in effectively organizing, managing, tracking and completing multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment

Skill in working independently, under minimal supervision

Ability to handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude

Ability to establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes

Ability to project a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment

Ability to travel extensively to perform required branch visits