Job Summary
The Field Supervision Manager is responsible for a wide variety of supervisory, compliance, and risk functions for the Associate Financial Services (AFS) and Investment Central (IC) departments. In conjunction with the Division Supervision Officer, the Field Supervision Manager has accountability for maintaining a consistent controlled environment over their control area through adherence of business ethics practices and adherence to all applicable Federal, State and Local laws, Raymond James policies (RJA RJFS), and other regulations. Responsible for ensuring the Division Supervision Officer and Business Leadership in AFS and IC are informed of significant matters.
Essential Duties and Responsibilities:
• Partner to the AFS and IC management teams. Responsible for risk, supervisory and compliance matters, and working with AFS and IC Management to enforce policies and procedures within respective businesses.
• Where appropriate, participates in department meetings regarding strategies, and provides communication regarding updates/changes to policies and procedures, etc.
• Works with business partners to conduct regular training on systems, procedures, and or processes as needed.
• Ensures AFS and IC leadership, are aware and involved in managing supervisory and risk management issues through regular meetings, reporting/metrics, and escalations for their defined supervisory territory.
• Provides quarterly risk and supervisory updates.
• Facilitates supervisory inquiries or processes that require escalation.
• Acts as a point of escalation for the central supervision Centers of Expertise, as well as other areas across the Firm, and works with these areas to resolve supervision issues with advisors and/or Management.
• Interacts with the Central Trade Review Team to share trends and patterns. Builds intelligence on risk in regard to clients and FAs within their supervisory coverage.
• Provides review and approval for supervisory/compliance policy exceptions or branch processes that require senior management approval within the coverage territory.
• Conducts periodic reviews on documented supervisory issues/escalations/exceptions, and connects with AFS and IC Management to ensure adherence to supervisory plans, when necessary, and properly evidences this review.
• Works with AFS and IC management to assist in managing audit preparation to ensure compliance with firm and regulatory policies. Ensures remediation of Branch Exam issues identified by implementing controls with AFS and IC management to resolve and manage issues going forward.
• Liaises with the Legal and Compliance Divisions with respect to customer complaints and litigation.
• Works with Division Supervision Officers, AFS and IC Management to identify disciplinary concerns and assist in the issuance of discipline, when necessary.
• Assists in the approval of documentation/paperwork for producing managers.
• Provides regular and consistent education, communication of policies, and updates/changes in regulation in order to promote risk awareness and a compliant environment.
Job Summary
The Field Supervision Manager is responsible for a wide variety of supervisory, compliance, and risk functions for the Associate Financial Services (AFS) and Investment Central (IC) departments. In conjunction with the Division Supervision Officer, the Field Supervision Manager has accountability for maintaining a consistent controlled environment over their control area through adherence of business ethics practices and adherence to all applicable Federal, State and Local laws, Raymond James policies (RJA RJFS), and other regulations. Responsible for ensuring the Division Supervision Officer and Business Leadership in AFS and IC are informed of significant matters.
Essential Duties and Responsibilities:
• Partner to the AFS and IC management teams. Responsible for risk, supervisory and compliance matters, and working with AFS and IC Management to enforce policies and procedures within respective businesses.
• Where appropriate, participates in department meetings regarding strategies, and provides communication regarding updates/changes to policies and procedures, etc.
• Works with business partners to conduct regular training on systems, procedures, and or processes as needed.
• Ensures AFS and IC leadership, are aware and involved in managing supervisory and risk management issues through regular meetings, reporting/metrics, and escalations for their defined supervisory territory.
• Provides quarterly risk and supervisory updates.
• Facilitates supervisory inquiries or processes that require escalation.
• Acts as a point of escalation for the central supervision Centers of Expertise, as well as other areas across the Firm, and works with these areas to resolve supervision issues with advisors and/or Management.
• Interacts with the Central Trade Review Team to share trends and patterns. Builds intelligence on risk in regard to clients and FAs within their supervisory coverage.
• Provides review and approval for supervisory/compliance policy exceptions or branch processes that require senior management approval within the coverage territory.
• Conducts periodic reviews on documented supervisory issues/escalations/exceptions, and connects with AFS and IC Management to ensure adherence to supervisory plans, when necessary, and properly evidences this review.
• Works with AFS and IC management to assist in managing audit preparation to ensure compliance with firm and regulatory policies. Ensures remediation of Branch Exam issues identified by implementing controls with AFS and IC management to resolve and manage issues going forward.
• Liaises with the Legal and Compliance Divisions with respect to customer complaints and litigation.
• Works with Division Supervision Officers, AFS and IC Management to identify disciplinary concerns and assist in the issuance of discipline, when necessary.
• Assists in the approval of documentation/paperwork for producing managers.
• Provides regular and consistent education, communication of policies, and updates/changes in regulation in order to promote risk awareness and a compliant environment.
Qualifications:
• Strong interpersonal and communication skills to deal with clients, financial advisors, support staff and home office personnel in all types of matters including those that may be sensitive.
• Comprehensive understanding of company policies and procedures and industry rules and regulations.
• Strong foundation in investment concepts, practices and procedures used in the securities industry, Financial markets and financial products.
• A proven leader who can establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.
• Project a professional and pleasant demeanor to work with advisors and clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.
• Commitment to providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.
• Ability to effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
• Employ good analytical skills to be able to research and resolve problems.
• Work independently, under minimal supervision.
• Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Educational/Previous Experience Requirements:
•Bachelor’s degree from college or university in related field and a minimum of six (6) years of Administrative or Operations Manager experience in the financial services industry. ~or~
•An equivalent combination of experience, education, and/or training as approved by Human Resources.
Licenses/Certifications:
•Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe.
oSIE required provided that an exemption or grandfathering cannot be applied
oRequired to have Series 7, 9, 10 and 66
oSeries 24, 53 and 4 can be used as an equivalent to the 9 and 10
oSeries 63 and 65 can be used as an equivalent to the 66
•Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
Qualifications:
• Strong interpersonal and communication skills to deal with clients, financial advisors, support staff and home office personnel in all types of matters including those that may be sensitive.
• Comprehensive understanding of company policies and procedures and industry rules and regulations.
• Strong foundation in investment concepts, practices and procedures used in the securities industry, Financial markets and financial products.
• A proven leader who can establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.
• Project a professional and pleasant demeanor to work with advisors and clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.
• Commitment to providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.
• Ability to effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
• Employ good analytical skills to be able to research and resolve problems.
• Work independently, under minimal supervision.
• Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Educational/Previous Experience Requirements:
•Bachelor’s degree from college or university in related field and a minimum of six (6) years of Administrative or Operations Manager experience in the financial services industry. ~or~
•An equivalent combination of experience, education, and/or training as approved by Human Resources.
Licenses/Certifications:
•Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe.
oSIE required provided that an exemption or grandfathering cannot be applied
oRequired to have Series 7, 9, 10 and 66
oSeries 24, 53 and 4 can be used as an equivalent to the 9 and 10
oSeries 63 and 65 can be used as an equivalent to the 66
•Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
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 firmAt 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 firmAt 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.