Raymond James
Vice President, Advisory Supervision
Raymond James, St. Petersburg, Florida, United States, 33739
Overview
The
Vice President, Advisory Supervision
is a strategic leader responsible for ensuring the integrity, compliance, and effectiveness of Raymond James’ investment advisory programs. This role operates with 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 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, spanning guidance to direct reports and advising senior Private Client Group (PCG) management on future program direction.
Essential Duties and Responsibilities
Lead strategic initiatives and partner with cross-functional teams to enhance supervisory practices.
Demonstrate proactive, vocal, and visible leadership by setting clear expectations, driving accountability, and fostering a culture of transparency and engagement across teams and stakeholders.
Collaborate closely with Risk, Legal, Compliance, and PCG to 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 mindset by 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
Advanced investment concepts and securities industry procedures.
Investment Company Act of 1940 and SEC regulatory environment.
Financial advisor business models and supervisory needs.
Skills
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.
Abilities
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.
Education/Experience
Bachelor’s degree or related experience
12+ years of supervision experience, preferably in a retail financial services firm
Any equivalent combination of experience, education, and/or training approved by Human Resources
Licenses/Certifications
Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
SIE required provided that an exemption or grandfathering cannot be applied.
Series 7, 24, 65 or 66 Required
Travel Less than 25%
Workstyle Hybrid
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.
Seniority level Director
Employment type Full-time
Job function
Accounting/Auditing, Finance, and General Business
Industries
Financial Services and Investment Management
#J-18808-Ljbffr
Vice President, Advisory Supervision
is a strategic leader responsible for ensuring the integrity, compliance, and effectiveness of Raymond James’ investment advisory programs. This role operates with 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 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, spanning guidance to direct reports and advising senior Private Client Group (PCG) management on future program direction.
Essential Duties and Responsibilities
Lead strategic initiatives and partner with cross-functional teams to enhance supervisory practices.
Demonstrate proactive, vocal, and visible leadership by setting clear expectations, driving accountability, and fostering a culture of transparency and engagement across teams and stakeholders.
Collaborate closely with Risk, Legal, Compliance, and PCG to 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 mindset by 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
Advanced investment concepts and securities industry procedures.
Investment Company Act of 1940 and SEC regulatory environment.
Financial advisor business models and supervisory needs.
Skills
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.
Abilities
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.
Education/Experience
Bachelor’s degree or related experience
12+ years of supervision experience, preferably in a retail financial services firm
Any equivalent combination of experience, education, and/or training approved by Human Resources
Licenses/Certifications
Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
SIE required provided that an exemption or grandfathering cannot be applied.
Series 7, 24, 65 or 66 Required
Travel Less than 25%
Workstyle Hybrid
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.
Seniority level Director
Employment type Full-time
Job function
Accounting/Auditing, Finance, and General Business
Industries
Financial Services and Investment Management
#J-18808-Ljbffr