Supervision Manager- Home Office Supervisory Solutions (Remote Option Available)

Job Description - Supervision Manager- Home Office Supervisory Solutions (Remote Option Available) (2403557)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 Supervision Manager oversees a broad range of supervisory and risk functions. Working closely with the Division Supervision Officer (DSO), the Supervision Manager ensures a controlled environment by adhering to business ethics, practices, and all relevant Federal, State, and Local laws, as well as Raymond James policies and regulations. They are responsible for keeping the Branch Owner / Rep in Charge and Division Supervision teams informed of significant issues. Additionally, they partner with advisors and management to address various business needs and risks.*Note this person must reside in either of the following states: Idaho, Oregon, or Washington*Essential Duties and Responsibilities:Responsible for compliance 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 compliance 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.Develops, 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 at 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.QualificationsKnowledge, 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 from college or university in related field and a minimum of six (6) years of Administrative Manager or Supervision experience in the financial services industry.An equivalent combination of experience, education, and/or training as approved by Human Resources.Licenses/Certifications:Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe.SIE required provided that an exemption or grandfathering cannot be applied.Required to have Series 7, 9, 10, 66.Series 63 and 65 can be used as an equivalent to the 66.Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.Raymond James Guiding BehaviorsAt 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.Job:

CompliancePrimary Location:

US-WA-SeattleOther Locations:Organization:

SupervisionSchedule:

Full-timeShift:

Day JobTravel:

Yes, 25 % of the TimeSalary Range: CO, CA, DC, HI, IL, NJ, NY, WA (based on Education, Work Experience, and Geographic Location) $100,000- $110,000Raymond James & Associates, Inc., member / , and Raymond James Financial Services, Inc., member / , are subsidiaries of Raymond James Financial, Inc.New York Stock Exchange SIPC FINRA SIPCRaymond James and Raymond James Financial are registered trademarks of Raymond James Financial, Inc.

#J-18808-Ljbffr