Raymond James Financial, Inc.
Vice President, Advisory Supervision
Raymond James Financial, Inc., Orlando, Florida, us, 32885
Vice President, Advisory Supervision page is loadedVice President, Advisory SupervisionApply locations St Petersburg, Florida - United States time type Full time posted on Posted 3 Days Ago job requisition id R-0006203
Job Description Summary
The Vice President of Advisory Supervision is a strategic leader responsible for ensuring the integrity, compliance, and effectiveness of Raymond James’ investment advisory programs. This role operates with a high degree of autonomy and influence, driving firm-wide initiatives that support prudent supervisory practices and mitigate risk. The VP leads cross-functional efforts to uphold regulatory standards and firm policies across a diverse advisory landscape, including Prudent Process, Independent Registered Investment Advisers (IRIA), Corporate RIA, and both discretionary and non-discretionary platforms. This position requires a strong proactive, vocal, and visible leadership presence, a continuous improvement mindset, and the ability to guide teams and processes in a dynamic regulatory environment. The VP will operate at different levels of granularity which span guiding direct reports to advising senior Private Client Group (PCG) management on future program direction.
Job Description Essential Duties and Responsibilities Lead strategic initiatives and partner with cross-functional teams to enhance supervisory practices.
Demonstrate proactive, vocal, and visible leadershipby setting clear expectations, driving accountability, and fostering a culture of transparency and engagement across teams and stakeholders.
Collaborate closely with Risk, Legal, Compliance, and PCGto ensure supervisory practices align with regulatory expectations, mitigate firm risk, and support advisor and client outcomes.
Develop and implement a robust supervisory framework for investment advisory programs.
Monitor regulatory changes and ensure firm-wide compliance across advisory activities.
Foster a continuous improvement mindsetby proactively identifying and executing process enhancements that optimize supervisory effectiveness, increase efficiency, and support scalable growth.
Manage, mentor, and develop a team of supervisory professionals.
Provide training, guidance, and career development support to team members.
Deliver presentations and reports to senior leadership and stakeholders.
Lead or contribute to additional projects based on expertise, including program design and implementation.
Knowledge, Skills, and Abilities
Please ensure you read the below overview and requirements for this employment opportunity completely. Knowledge of Advanced investment concepts and securities industry procedures.
Investment Company Act of 1940 and SEC regulatory environment.
Financial advisor business models and supervisory needs.
Skill in Strategic and analytical thinking to align regulatory, firm, advisor, and client needs.
Establishing KPIs and linking them to business outcomes.
Building and maintaining collaborative relationships across departments.
Influencing decisions and communicating effectively at all levels.
Coaching and leadership to support team growth and performance.
Working knowledge of how technology can support the investment advisory supervision function.
Ability to • Develop and execute strategic plans aligned with company goals. Navigate organizational structures and build consensus.
Lead change initiatives and foster innovation.
Communicate clearly across diverse audiences.
Work independently and collaboratively in a dynamic environment.
Educational/Previous Experience Requirements Education/Previous Experience Bachelor’s degree or related experience
12+ years of Supervision experience, preferably in a retail financial services firm
~or~
Any equivalent combination of experience, education, and/or training approved by Human Resources
Licenses/Certifications
SIE required provided that an exemption or grandfathering cannot be applied.
7, 24, 65 or 66 Required
Education Work Experience Certifications Travel Less than 25%
Workstyle Hybrid 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-AF1About Raymond James 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. Join our Talent Network 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.
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.
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Job Description Essential Duties and Responsibilities Lead strategic initiatives and partner with cross-functional teams to enhance supervisory practices.
Demonstrate proactive, vocal, and visible leadershipby setting clear expectations, driving accountability, and fostering a culture of transparency and engagement across teams and stakeholders.
Collaborate closely with Risk, Legal, Compliance, and PCGto ensure supervisory practices align with regulatory expectations, mitigate firm risk, and support advisor and client outcomes.
Develop and implement a robust supervisory framework for investment advisory programs.
Monitor regulatory changes and ensure firm-wide compliance across advisory activities.
Foster a continuous improvement mindsetby proactively identifying and executing process enhancements that optimize supervisory effectiveness, increase efficiency, and support scalable growth.
Manage, mentor, and develop a team of supervisory professionals.
Provide training, guidance, and career development support to team members.
Deliver presentations and reports to senior leadership and stakeholders.
Lead or contribute to additional projects based on expertise, including program design and implementation.
Knowledge, Skills, and Abilities
Please ensure you read the below overview and requirements for this employment opportunity completely. Knowledge of Advanced investment concepts and securities industry procedures.
Investment Company Act of 1940 and SEC regulatory environment.
Financial advisor business models and supervisory needs.
Skill in Strategic and analytical thinking to align regulatory, firm, advisor, and client needs.
Establishing KPIs and linking them to business outcomes.
Building and maintaining collaborative relationships across departments.
Influencing decisions and communicating effectively at all levels.
Coaching and leadership to support team growth and performance.
Working knowledge of how technology can support the investment advisory supervision function.
Ability to • Develop and execute strategic plans aligned with company goals. Navigate organizational structures and build consensus.
Lead change initiatives and foster innovation.
Communicate clearly across diverse audiences.
Work independently and collaboratively in a dynamic environment.
Educational/Previous Experience Requirements Education/Previous Experience Bachelor’s degree or related experience
12+ years of Supervision experience, preferably in a retail financial services firm
~or~
Any equivalent combination of experience, education, and/or training approved by Human Resources
Licenses/Certifications
SIE required provided that an exemption or grandfathering cannot be applied.
7, 24, 65 or 66 Required
Education Work Experience Certifications Travel Less than 25%
Workstyle Hybrid 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-AF1About Raymond James 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. Join our Talent Network 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.
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.
#J-18808-Ljbffr