Field Supervision Manager

Raymond James

8d•$100,000 - $0•Remote

About The Position

The Field Supervision Manager/Division Supervision Manager (FSM/DSM) oversees a broad range of supervisory and risk functions. Working closely with the Division Supervision Officer (DSO), the FSM/DSM ensures a controlled environment by adhering to business ethics, practices, and all relevant Federal, State, and Local laws, as well as Raymond James RJA or RJFS policies and regulations. They are responsible for keeping the DSO and Branch management teams informed of significant issues. Additionally, they partner with advisors and management to address various business needs and risks.

Requirements

Knowledge of Company policies and procedures and industry rules and regulations.
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.
Dealing with clients, financial advisors, support staff and home office personnel in all types of matters including those that may be sensitive
Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.
Execute consistent Human resource management principles and practices.
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.
Bachelor’s degree from college or university in related field and a minimum of six (6) years of Administrative Manager or Supervision experience in the financial services industry.
~OR ~ An equivalent combination of experience, education, and/or training as approved by Human Resources.
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, 66
Series 63 and 65 can be used as an equivalent to the 66

Nice To Haves

Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Responsibilities

Partners with Complex/Branch management teams within the assigned territory, overseeing supervisory functions, risk mitigation, and policy enforcement with Advisors and Branch Management.
Participates in Complex/Branch/Division meetings to discuss strategies and communicate updates/changes to policies and procedures.
Ensures Complex/Branch Managers are informed and involved in supervisory and risk management issues through regular meetings, reporting, metrics, and escalations.
Assists in creating and presenting quarterly risk and supervisory updates to Divisional Leadership teams.
Facilitates escalated supervisory inquiries or processes from Advisors and Branch Management teams.
Acts as an escalation point for Supervision’s Centers of Expertise, resolving supervision issues with advisors and/or branch management.
Reviews and advises on supervisory processes and compliance policies requiring senior management approval.
Conducts periodic reviews of documented supervisory matters, ensuring adherence to supervisory plans and proper documentation.
Assists complexes/branches in audit preparation to ensure compliance with firm and regulatory policies and implements controls to resolve and manage Branch Exam issues.
Liaises with Legal and Compliance Divisions on customer complaints and litigation.
Provides regular education and communication on processes and policies, promoting risk awareness and a compliant environment.
Collaborates with Division Supervision Officer, Branch Management teams, and Divisional Leadership to address disciplinary concerns and assist in issuing discipline when necessary.
Provides monthly updates on Supervision Metrics and may present at Quarterly Metrics meetings.
May lead various meetings and calls, such as the National Operations Manager Call and Divisional Calls.
Reviews third-party vendor requests to ensure compliance with policies and procedures.
Supports the supervision of producing Branch Managers.
May provide training and development for new FSM/DSM hires and support the FSM/DSM team as a point-of-contact.
Manages special projects as needed.