Raymond James
SVP, Division Director, ICD Northeast
Raymond James, St. Petersburg, Florida, United States, 33739
Job Summary
This senior leader puts our clients at the center of every decision, driving growth, collaboration, and communication across the division. By leading a team of experienced professionals, the role ensures proactive support and innovative solutions for independent business owners and financial advisors.
Location The Northeast Division of responsibility includes CT, DC, DE, MA, MD, ME, NH, NJ, NY, PA, RI, VA, VT. This position may be in territory or in the Tampa Bay, FL area.
Essential Duties and Responsibilities
Provide strategic leadership and direction to support the overall ICD strategy, goals and elevate the service and support model for the independent contractor division.
Lead a team of senior relationship management and operational professionals that deliver expert guidance and business support to branch owners and advisors.
Champion a client‑first culture by driving initiatives to enhance advisor efficiency, client satisfaction, and overall business growth.
Drive recruiting efforts by building relationships with internal recruiting partners, prospective advisors and delivering a compelling value proposition.
Cultivate deep, trust‑based relationships with branch leaders and top advisors to support retention and long‑term engagement.
Influence asset growth by identifying opportunities to support business expansion, improve practice management, and increase advisor productivity.
Ensure adherence to regulatory standards and firm policies through effective supervision and risk mitigation practices.
Collaborate across the firm to deliver solutions that align with advisor needs and business objectives, including technology, compliance, operations, and marketing.
Identify trends, risks, and opportunities to drive innovation and improve field engagement and satisfaction.
Serve as senior voice and advocate for the advisors and your team within the organization, influencing decisions and shaping the evolution of the division’s service model while also supporting, communicating and reinforcing changes in strategic initiatives and corporate policies.
Develop and mentor a team of professionals who serve as trusted partners to branch leaders and advisors to ensure deep expertise, business growth, consistent service delivery, and strong cross‑functional collaboration.
Knowledge
Wealth management and financial advisory business models, particularly independent contractor and hybrid structures.
Practice management principles and advisor business development strategies.
Regulatory and compliance standards (e.g., FINRA, SEC) as they apply to advisory practices.
Advisor recruiting and onboarding best practices.
Company’s working structure, policies, mission, strategies, and compliance guidelines.
Investment concepts, practices and procedures used in the securities industry.
Principles of banking and finance and securities industry operations.
Financial markets and products.
The competitive landscape and trends impacting independent advisors and the broader industry.
Skills
Executive‑level relationship management and strategic, professional communication.
Leading and developing high‑performing teams across functions.
Translating strategic objectives into actionable plans.
Driving process improvement and delivering scalable service models.
Analyzing business performance data to inform decisions.
Conflict resolution, change management, and influencing without authority.
Supervisory oversight and applying risk management frameworks effectively.
Partnering cross‑functionally to solve complex business challenges.
Operating standard office equipment and using required software applications.
Abilities
Build credibility and trust with advisors, branch leaders, executive peers, external partners and team.
Navigate and lead through ambiguity in a fast‑paced, client‑centric environment.
Balance strategic thinking with hands‑on execution.
Inspire and motivate teams through coaching, accountability, and recognition.
Identify opportunities for growth and advisor support across a distributed model.
Maintain a high standard of integrity and confidentiality.
Align teams and initiatives with the firm’s mission, culture, and values.
Plan, assign, monitor, review, evaluate and lead the work of others; coach and mentor others.
Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated in a fast‑paced work environment.
Work independently as well as collaboratively within a team environment.
Education and Experience
Bachelor’s Degree (B.A) required in a related field with a minimum of fifteen (15) years’ experience in the financial services industry; with ten (10) years of management experience, and sales management experience in the securities industry required.
Master’s Degree in a related field with a minimum of ten (10) to twelve (12) years’ experience in the financial services industry; with eight (8) years of management experience, and sales management experience in the securities industry required.
Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses and Certifications
SIE required, provided that an exemption or grandfathering cannot be applied.
Series 7 required. Series 24 or 9/10 required.
Other Information
Travel: Up to 50%
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.
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Location The Northeast Division of responsibility includes CT, DC, DE, MA, MD, ME, NH, NJ, NY, PA, RI, VA, VT. This position may be in territory or in the Tampa Bay, FL area.
Essential Duties and Responsibilities
Provide strategic leadership and direction to support the overall ICD strategy, goals and elevate the service and support model for the independent contractor division.
Lead a team of senior relationship management and operational professionals that deliver expert guidance and business support to branch owners and advisors.
Champion a client‑first culture by driving initiatives to enhance advisor efficiency, client satisfaction, and overall business growth.
Drive recruiting efforts by building relationships with internal recruiting partners, prospective advisors and delivering a compelling value proposition.
Cultivate deep, trust‑based relationships with branch leaders and top advisors to support retention and long‑term engagement.
Influence asset growth by identifying opportunities to support business expansion, improve practice management, and increase advisor productivity.
Ensure adherence to regulatory standards and firm policies through effective supervision and risk mitigation practices.
Collaborate across the firm to deliver solutions that align with advisor needs and business objectives, including technology, compliance, operations, and marketing.
Identify trends, risks, and opportunities to drive innovation and improve field engagement and satisfaction.
Serve as senior voice and advocate for the advisors and your team within the organization, influencing decisions and shaping the evolution of the division’s service model while also supporting, communicating and reinforcing changes in strategic initiatives and corporate policies.
Develop and mentor a team of professionals who serve as trusted partners to branch leaders and advisors to ensure deep expertise, business growth, consistent service delivery, and strong cross‑functional collaboration.
Knowledge
Wealth management and financial advisory business models, particularly independent contractor and hybrid structures.
Practice management principles and advisor business development strategies.
Regulatory and compliance standards (e.g., FINRA, SEC) as they apply to advisory practices.
Advisor recruiting and onboarding best practices.
Company’s working structure, policies, mission, strategies, and compliance guidelines.
Investment concepts, practices and procedures used in the securities industry.
Principles of banking and finance and securities industry operations.
Financial markets and products.
The competitive landscape and trends impacting independent advisors and the broader industry.
Skills
Executive‑level relationship management and strategic, professional communication.
Leading and developing high‑performing teams across functions.
Translating strategic objectives into actionable plans.
Driving process improvement and delivering scalable service models.
Analyzing business performance data to inform decisions.
Conflict resolution, change management, and influencing without authority.
Supervisory oversight and applying risk management frameworks effectively.
Partnering cross‑functionally to solve complex business challenges.
Operating standard office equipment and using required software applications.
Abilities
Build credibility and trust with advisors, branch leaders, executive peers, external partners and team.
Navigate and lead through ambiguity in a fast‑paced, client‑centric environment.
Balance strategic thinking with hands‑on execution.
Inspire and motivate teams through coaching, accountability, and recognition.
Identify opportunities for growth and advisor support across a distributed model.
Maintain a high standard of integrity and confidentiality.
Align teams and initiatives with the firm’s mission, culture, and values.
Plan, assign, monitor, review, evaluate and lead the work of others; coach and mentor others.
Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated in a fast‑paced work environment.
Work independently as well as collaboratively within a team environment.
Education and Experience
Bachelor’s Degree (B.A) required in a related field with a minimum of fifteen (15) years’ experience in the financial services industry; with ten (10) years of management experience, and sales management experience in the securities industry required.
Master’s Degree in a related field with a minimum of ten (10) to twelve (12) years’ experience in the financial services industry; with eight (8) years of management experience, and sales management experience in the securities industry required.
Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses and Certifications
SIE required, provided that an exemption or grandfathering cannot be applied.
Series 7 required. Series 24 or 9/10 required.
Other Information
Travel: Up to 50%
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.
#J-18808-Ljbffr