Raymond James
Overview
Supervision Manager, Supervisory Solutions at Raymond James. Manages supervision oversight, ensuring adherence to firm and regulatory policies and procedures. Monitors day-to-day activities of financial advisors and registered sales assistants to ensure compliance with internal policies and procedures, and external regulations. Travel to branch locations to perform required annual Branch Manager Supervisory Visits. Essential Duties and 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. Educate branch staff associates. Escalate 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 individuals for explanations and actions. Coordinate registrations, continuing education, licensing, etc. of branch personnel. Oversee branch activities and interface with business platform sales management to address supervisory concerns. Implement and enforce policies and procedures for OSJ locations not currently staffed with a licensed and qualified branch manager by serving as the designated manager or branch manager delegate. Monitor securities regulations and apply them accordingly; interpret and recommend changes to organizational policies within compliance frameworks. Handle hiring/termination administrative matters for FA and their transitions. Monitor Supervisory Center alerts and perform necessary follow-up; research and resolve complex client account issues. Communicate regulatory rules and firm policy changes to the field; travel to branch locations as required by annual visits. Perform other duties and responsibilities as assigned. Knowledge, Skills, and Abilities
Knowledge
Company policies and procedures and industry rules and regulations. Investment concepts, practices and procedures used in the securities industry, financial markets and financial products. Skills
Operating standard office equipment and required software to produce correspondence, reports, electronic communications, spreadsheets, and databases. Preparing and delivering clear, effective presentations. Identifying client needs through effective questioning and listening techniques. Handling stressful situations and leading others with a Service 1st attitude. Professional appearance and demeanor when working with clients; tact and diplomacy in deadline-driven environments. Analytical skills to research and resolve problems; establishing clear directions and priorities. Clear verbal and written communication with clients, advisors, support staff and home office personnel. Leadership to influence and motivate others; organizing and managing multiple tasks with changing priorities. Independent work with minimal supervision. Abilities
Handle stressful situations and lead others with a Service 1st attitude. Establish and maintain leadership to influence outcomes. Travel extensively to perform required branch visits. Educational/Experience Requirements
Bachelor’s degree (B.A.) from a four-year college or university, and a minimum of five (5) years of experience in a financial services firm / supervision OR an equivalent combination of experience, education, and/or training as approved by Human Resources. Licenses/Certifications
SIE required (exemption/grandfathering not applicable) Series 7, 9/10 or 24, 66 or 63/65 required Series 53, Life, Health and Variable Annuity Licenses preferred Salary Range
$100,000.00-$111,000.00 Travel
Less than 25% Workstyle
Remote Company Culture
At Raymond James, associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on client-first values. We are an equal opportunity employer and hire on merit and business need. Seniority level
Mid-Senior level Employment type
Full-time Job function
Other
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Supervision Manager, Supervisory Solutions at Raymond James. Manages supervision oversight, ensuring adherence to firm and regulatory policies and procedures. Monitors day-to-day activities of financial advisors and registered sales assistants to ensure compliance with internal policies and procedures, and external regulations. Travel to branch locations to perform required annual Branch Manager Supervisory Visits. Essential Duties and 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. Educate branch staff associates. Escalate 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 individuals for explanations and actions. Coordinate registrations, continuing education, licensing, etc. of branch personnel. Oversee branch activities and interface with business platform sales management to address supervisory concerns. Implement and enforce policies and procedures for OSJ locations not currently staffed with a licensed and qualified branch manager by serving as the designated manager or branch manager delegate. Monitor securities regulations and apply them accordingly; interpret and recommend changes to organizational policies within compliance frameworks. Handle hiring/termination administrative matters for FA and their transitions. Monitor Supervisory Center alerts and perform necessary follow-up; research and resolve complex client account issues. Communicate regulatory rules and firm policy changes to the field; travel to branch locations as required by annual visits. Perform other duties and responsibilities as assigned. Knowledge, Skills, and Abilities
Knowledge
Company policies and procedures and industry rules and regulations. Investment concepts, practices and procedures used in the securities industry, financial markets and financial products. Skills
Operating standard office equipment and required software to produce correspondence, reports, electronic communications, spreadsheets, and databases. Preparing and delivering clear, effective presentations. Identifying client needs through effective questioning and listening techniques. Handling stressful situations and leading others with a Service 1st attitude. Professional appearance and demeanor when working with clients; tact and diplomacy in deadline-driven environments. Analytical skills to research and resolve problems; establishing clear directions and priorities. Clear verbal and written communication with clients, advisors, support staff and home office personnel. Leadership to influence and motivate others; organizing and managing multiple tasks with changing priorities. Independent work with minimal supervision. Abilities
Handle stressful situations and lead others with a Service 1st attitude. Establish and maintain leadership to influence outcomes. Travel extensively to perform required branch visits. Educational/Experience Requirements
Bachelor’s degree (B.A.) from a four-year college or university, and a minimum of five (5) years of experience in a financial services firm / supervision OR an equivalent combination of experience, education, and/or training as approved by Human Resources. Licenses/Certifications
SIE required (exemption/grandfathering not applicable) Series 7, 9/10 or 24, 66 or 63/65 required Series 53, Life, Health and Variable Annuity Licenses preferred Salary Range
$100,000.00-$111,000.00 Travel
Less than 25% Workstyle
Remote Company Culture
At Raymond James, associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on client-first values. We are an equal opportunity employer and hire on merit and business need. Seniority level
Mid-Senior level Employment type
Full-time Job function
Other
#J-18808-Ljbffr