Raymond James Financial Services
Division Supervision Manager- Midwest Region (Hybrid)
Raymond James Financial Services, St. Petersburg, Florida, United States,
Description
Department Overview:
Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management.
The Supervision department partners closely with the business to proactively mitigate risk. Our department supports business units by managing activity/account reviews, product oversight, escalation/approvals and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the firm while preserving our culture, and adhering to our core values of client first, conservatism, independence and integrity.
At Raymond James, we are putting the power of perspectives into action and building an inclusive and diverse workforce that reflects our commitment to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, and continuing education options.
Job Summary:
The Field Supervision Manager/Division Supervision Manager (FSM/DSM) oversees a broad range of supervisory and risk functions. Working closely with the Division Supervision Officer (DSO), the FSM/DSM ensures a controlled environment by adhering to business ethics, practices, and all relevant Federal, State, and Local laws, as well as Raymond James RJA or RJFS policies and regulations. They are responsible for keeping the DSO and Branch management teams informed of significant issues. Additionally, they partner with advisors and management to address various business needs and risks.
Essential Duties and Responsibilities:
Partners with Complex/Branch management teams within the assigned territory, overseeing supervisory functions, risk mitigation, and policy enforcement with Advisors and Branch Management.
Participates in Complex/Branch/Division meetings to discuss strategies and communicate updates/changes to policies and procedures.
Ensures Complex/Branch Managers are informed and involved in supervisory and risk management issues through regular meetings, reporting, metrics, and escalations.
Assists in creating and presenting quarterly risk and supervisory updates to Divisional Leadership teams.
Facilitates escalated supervisory inquiries or processes from Advisors and Branch Management teams.
Acts as an escalation point for Supervision’s Centers of Expertise, resolving supervision issues with advisors and/or branch management.
Reviews and advises on supervisory processes and compliance policies requiring senior management approval.
Conducts periodic reviews of documented supervisory matters, ensuring adherence to supervisory plans and proper documentation.
Assists complexes/branches in audit preparation to ensure compliance with firm and regulatory policies and implements controls to resolve and manage Branch Exam issues.
Liaises with Legal and Compliance Divisions on customer complaints and litigation.
Provides regular education and communication on processes and policies, promoting risk awareness and a compliant environment.
Collaborates with Division Supervision Officer, Branch Management teams, and Divisional Leadership to address disciplinary concerns and assist in issuing discipline when necessary.
Provides monthly updates on Supervision Metrics and may present at Quarterly Metrics meetings.
May lead various meetings and calls, such as the National Operations Manager Call and Divisional Calls.
Reviews third-party vendor requests to ensure compliance with policies and procedures.
Supports the supervision of producing Branch Managers.
May provide training and development for new FSM/DSM hires and support the FSM/DSM team as a point-of-contact.
Manages special projects as needed
Qualifications
Knowledge, Skills, and Abilities:
Knowledge of:
Company policies and procedures and industry rules and regulations.
Investment concepts, practices and procedures used in the securities industry, financial markets and financial products.
A proven leader who can establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.
Project a professional and pleasant demeanor to work with advisors and clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.
Commitment to providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.
Ability to effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
Employ good analytical skills to be able to research and resolve problems.
Work independently, under minimal supervision.
Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Skill in:
Dealing with clients, financial advisors, support staff and home office personnel in all types of matters including those that may be sensitive
Ability to:
Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.
Execute consistent Human resource management principles and practices.
Project a professional and pleasant demeanor to work with advisors and clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.
Provide a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.
Effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
Employ good analytical skills to be able to research and resolve problems.
Work independently, under minimal supervision.
Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Educational/Previous Experience Requirements:
Bachelor’s degree (B.A) in a related discipline and a minimum of six (6) years of experience in Supervision and/or the financial services industry.
~or~
Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
Series 7, 24 or 9/10 required.
Series 63, 65 and/or 66 as required by state.
Ability to obtain additional securities and advisory state registrations if required by state.
Job:
Compliance
Primary Location:
US-FL-St. Petersburg-Saint Petersburg
Organization
Supervision
Schedule
Full-time
Job Shift
Day Job
Travel
Yes, 20 % of the Time
Req ID:
2403497
Department Overview:
Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management.
The Supervision department partners closely with the business to proactively mitigate risk. Our department supports business units by managing activity/account reviews, product oversight, escalation/approvals and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the firm while preserving our culture, and adhering to our core values of client first, conservatism, independence and integrity.
At Raymond James, we are putting the power of perspectives into action and building an inclusive and diverse workforce that reflects our commitment to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, and continuing education options.
Job Summary:
The Field Supervision Manager/Division Supervision Manager (FSM/DSM) oversees a broad range of supervisory and risk functions. Working closely with the Division Supervision Officer (DSO), the FSM/DSM ensures a controlled environment by adhering to business ethics, practices, and all relevant Federal, State, and Local laws, as well as Raymond James RJA or RJFS policies and regulations. They are responsible for keeping the DSO and Branch management teams informed of significant issues. Additionally, they partner with advisors and management to address various business needs and risks.
Essential Duties and Responsibilities:
Partners with Complex/Branch management teams within the assigned territory, overseeing supervisory functions, risk mitigation, and policy enforcement with Advisors and Branch Management.
Participates in Complex/Branch/Division meetings to discuss strategies and communicate updates/changes to policies and procedures.
Ensures Complex/Branch Managers are informed and involved in supervisory and risk management issues through regular meetings, reporting, metrics, and escalations.
Assists in creating and presenting quarterly risk and supervisory updates to Divisional Leadership teams.
Facilitates escalated supervisory inquiries or processes from Advisors and Branch Management teams.
Acts as an escalation point for Supervision’s Centers of Expertise, resolving supervision issues with advisors and/or branch management.
Reviews and advises on supervisory processes and compliance policies requiring senior management approval.
Conducts periodic reviews of documented supervisory matters, ensuring adherence to supervisory plans and proper documentation.
Assists complexes/branches in audit preparation to ensure compliance with firm and regulatory policies and implements controls to resolve and manage Branch Exam issues.
Liaises with Legal and Compliance Divisions on customer complaints and litigation.
Provides regular education and communication on processes and policies, promoting risk awareness and a compliant environment.
Collaborates with Division Supervision Officer, Branch Management teams, and Divisional Leadership to address disciplinary concerns and assist in issuing discipline when necessary.
Provides monthly updates on Supervision Metrics and may present at Quarterly Metrics meetings.
May lead various meetings and calls, such as the National Operations Manager Call and Divisional Calls.
Reviews third-party vendor requests to ensure compliance with policies and procedures.
Supports the supervision of producing Branch Managers.
May provide training and development for new FSM/DSM hires and support the FSM/DSM team as a point-of-contact.
Manages special projects as needed
Qualifications
Knowledge, Skills, and Abilities:
Knowledge of:
Company policies and procedures and industry rules and regulations.
Investment concepts, practices and procedures used in the securities industry, financial markets and financial products.
A proven leader who can establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.
Project a professional and pleasant demeanor to work with advisors and clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.
Commitment to providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.
Ability to effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
Employ good analytical skills to be able to research and resolve problems.
Work independently, under minimal supervision.
Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Skill in:
Dealing with clients, financial advisors, support staff and home office personnel in all types of matters including those that may be sensitive
Ability to:
Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.
Execute consistent Human resource management principles and practices.
Project a professional and pleasant demeanor to work with advisors and clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.
Provide a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.
Effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
Employ good analytical skills to be able to research and resolve problems.
Work independently, under minimal supervision.
Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Educational/Previous Experience Requirements:
Bachelor’s degree (B.A) in a related discipline and a minimum of six (6) years of experience in Supervision and/or the financial services industry.
~or~
Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
Series 7, 24 or 9/10 required.
Series 63, 65 and/or 66 as required by state.
Ability to obtain additional securities and advisory state registrations if required by state.
Job:
Compliance
Primary Location:
US-FL-St. Petersburg-Saint Petersburg
Organization
Supervision
Schedule
Full-time
Job Shift
Day Job
Travel
Yes, 20 % of the Time
Req ID:
2403497