Job Description Summary

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:
Conducts supervisory the oversight activities to ensure adherence to firm and regulatory policies and procedures through monitoring the day-to-day activities of financial advisors and branch associates. Oversight activities include but are not limited to trade review, email review, advertising review, FA/client operational troubleshooting, new account and application review, annuity review, securities receipts review, cash deposit review, and outgoing/LOAs review. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with some latitude for un-reviewed actions or decisions. Uses extensive knowledge and skills obtained through education and experience to identify, research, analyze and resolve complex issues.

Job Description

Essential Duties and Responsibilities:

• Conducts supervisory oversight of RJFS branch office locations not currently staffed eith a licensed and qualified branch manager to ensure adherence to firm and regulatory policies and procedures.

Conducts daily supervisory reviews over advisor activities in their assigned branches with limited guidance. This includes the review of new accounts, supervisory alerts, money movement and client complaints.

Analyzes transaction activity to identify potential sales practice concerns and follow-up with appropriate individual(s) for explanations and actions.

Reviews escalations, exceptions and other requests at hand to determine needed next steps and plan for proper resolution.

Escalates supervisory concerns to division supervision or business partners and works in partnership to resolve outstanding issues.

Provides ongoing education to branch associates regarding policy and regulatory changes.

Assists HO Branch manager in managing complicated and/or escalated issues and acts as an escalation point for product COEs .

Assists in regulatory, branch exam and dispute resolution items as needed.

• Perform reviews of client accounts and documents submitted by the branch.

• 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.

• Coordinates registrations, continuing education, licensing, etc. of branch personnel.

• 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 supervisory 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.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

• Comprehensive understanding of company policies and procedures and industry rules and regulations.

• Investment concepts, practices and procedures used in the securities industry.

• Financial markets and products.

Skill in:

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

• Preparing and delivering clear, effective, and professional presentations.

• Identifying the needs of customers through effective questioning and listening techniques.

• Handling stressful situations and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.

• Projecting a professional demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.

• Employing strong critical thinking, analytical and problem-solving skills to recommend appropriate courses of action..

• Establishing and communicating clear directions and priorities.

• Utilizing strong interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel.

• Establishing and maintain a respected position of leadership to influence others and gain agreement from business partners and advisors on challenging topics.,

• Effectively organizing, managing, tracking and completing multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

• Working independently, under minimal supervision.

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A.) from four-year college or university, and a minimum of three (3) years’ experience in a financial services firm / supervision

~or~

• An equivalent combination of experience, education, and/or training as approved by Human Resources.

Licenses/Certifications:

• Series 7, 9/10 or 24, 66 or 65/63 is Required or the ability to obtain within an established timeframe.

• Series 53, Life, Health, and Variable Annuity Insurance Licenses preferred

Education

Work Experience

Certifications

Salary Range

$80,000.00-$95,000.00

Travel

Less than 25%

Workstyle

Remote

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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Raymond James

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