Job Description - Field Supervision Manager- AFS/IC (Remote Option Available) (2403175)
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 to business ethics practices and 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 with 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.Participate in department meetings regarding strategies, and provide communication regarding updates/changes to policies and procedures.Conduct regular training on systems, procedures, and processes as needed.Ensure 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.Provide quarterly risk and supervisory updates.Facilitate supervisory inquiries or processes that require escalation.Act as a point of escalation for the central supervision Centers of Expertise, and work with these areas to resolve supervision issues with advisors and/or Management.Interact with the Central Trade Review Team to share trends and patterns. Build intelligence on risk regarding clients and FAs within their supervisory coverage.Provide review and approval for supervisory/compliance policy exceptions or branch processes that require senior management approval within the coverage territory.Conduct periodic reviews on documented supervisory issues/escalations/exceptions, and connect with AFS and IC Management to ensure adherence to supervisory plans, when necessary.Assist in managing audit preparation to ensure compliance with firm and regulatory policies. Ensure remediation of Branch Exam issues identified by implementing controls with AFS and IC management to resolve and manage issues going forward.Liaise with the Legal and Compliance Divisions with respect to customer complaints and litigation.Work with Division Supervision Officers, AFS and IC Management to identify disciplinary concerns and assist in the issuance of discipline, when necessary.Assist in the approval of documentation/paperwork for producing managers.Provide regular education, communication of policies, and updates/changes in regulation 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.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 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.SIE required provided that an exemption or grandfathering cannot be applied.Required to have Series 7, 9, 10 and 66.Series 24, 53 and 4 can be used as an equivalent to the 9 and 10.Series 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.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, and 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.
Salary Range: CO, CA, DC, HI, IL, NJ, NY, WA (based on Education, Work Experience, and Geographic Location) $100,000- $110,000.
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