Manager, Supervision – Money Movement

Raymond James•Memphis, FL

8d•Hybrid

About The Position

The Manager, Supervision – Money Movement helps protect Raymond James clients and the firm by leading a supervisory team responsible for the oversight of money and security movement activity. The team reviews and approves transactions, identifies potential fraud, financial exploitation, policy concerns, and possible rules violations, and works with business partners to resolve supervisory matters that do not always have a straightforward answer. This is a player/coach role. You will lead, coach, and develop associates while also maintaining your own case load and participating directly in day-to-day Money Movement supervisory work. You will be expected to make sound, timely decisions on complex matters, support escalations, and step into the work alongside the team when volume, risk, or circumstances require it. You will partner closely with financial advisors, branch and regional leadership, Operations, Fraud, Compliance, Legal, and other Supervision teams to manage risk, strengthen processes, and deliver appropriate outcomes for clients and the firm. The work can be complex—and your leadership and judgment will make a meaningful difference.

Requirements

A leadership style that combines clear expectations and accountability with coaching, development, and a willingness to work alongside the team.
Critical thinking and sound judgment, including the ability to interpret regulatory requirements and firm policies and apply them to complex or unusual circumstances.
The ability to shift effectively between leading the team and personally handling supervisory work without losing sight of either responsibility.
Strong analytical and problem-solving skills, including the ability to identify trends, quantify issues, assess risk, and develop practical solutions.
Clear, confident written and verbal communication with clients, financial advisors, branch managers, senior leaders, and internal partners.
Professional composure and tact during sensitive, challenging, or high-stakes conversations, including the ability to de-escalate conflict and explain the rationale behind decisions.
Strong collaboration and relationship-building skills across business units and differing perspectives.
The ability to organize, prioritize, and track multiple detailed assignments in a fast-paced environment with frequent interruptions and changing priorities.
A disciplined eye for detail and risk, balanced with a big-picture view of workflow, client and advisor experience, and broader business impact.
A commitment to high-quality service without compromising supervisory standards, regulatory obligations, or risk controls.
Bachelor’s degree (B.A) in a related discipline and a minimum of six (6) years of experience in Supervision and/or the financial services industry.
An equivalent combination of experience, education, and/or training approved by Human Resources.
Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
SIE required provided that an exemption or grandfathering cannot be applied.
Required to have a Series 7, 9 and 10
Series 24 can be used instead of the 9 and 10
Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Nice To Haves

Stay close to the team’s day-to-day responsibilities, maintain your own case load, and step in when complexity, volume, or risk requires additional leadership support.
Establish priorities, define ownership, monitor progress, and hold the team accountable for quality, timeliness, documentation, and follow-through.
Give direct, productive feedback, identify development opportunities, and help associates strengthen judgment, technical expertise, communication, and confidence.
Investigate complex transactions and client circumstances, connect relevant facts, and reach well-supported conclusions.
Balance regulatory requirements, client circumstances, firm exposure, operational realities, and probable consequences; recognize when escalation or additional review is needed.
Explain concerns, decisions, required actions, and supporting rationale in a direct, respectful, and well-documented manner.
Look beyond an individual transaction or case to identify trends, control gaps, emerging risks, and opportunities to strengthen the supervisory program.
Build trust across Supervision, Operations, Fraud, Compliance, Legal, branches, and regional leadership and work through differing perspectives to reach appropriate outcomes.
Ensure matters move from initial review through documented resolution, whether handled personally or delegated to a member of the team.
Respond effectively to changing priorities, regulations, emerging risks, business needs, and technology while continuously looking for ways to improve the team and the work.

Responsibilities

Lead, coach, mentor, and develop Money Movement associates; identify training needs, provide actionable feedback, evaluate performance, and support individual and team development.
Plan, assign, monitor, review, and evaluate the work of associates while balancing service levels, risk, case complexity, staffing, and changing business priorities.
Operate as a player/coach by maintaining an individual case load and personally reviewing and approving Money Movement transactions using applicable regulations, firm policies, supporting documentation, and sound supervisory judgment.
Serve as an escalation point for complex or sensitive Money Movement matters, including transactions involving unusual circumstances, potential fraud or financial exploitation, policy exceptions, or heightened firm risk.
Contact clients, when appropriate, to verify disbursements or clarify circumstances; review ACH, Standing Letter of Authorization (SLOA), and Periodic Payment setups; and support other day-to-day Money Movement supervisory reviews.
Monitor team workflow and the Money Movement Supervision inbox, ensure appropriate ownership and follow-through, and step into cases or queues when needed to support timely resolution.
Explain supervisory concerns, decisions, and required actions clearly to financial advisors, branch managers, regional leadership, clients, and internal partners—even when the conversation is sensitive or the answer is not the one requested.
Build trust and effective working relationships across Supervision, Operations, Fraud, Compliance, Legal, PCG management, and other functional areas to research and resolve complex issues.
Use metrics, quality assurance feedback, trends, and team observations to identify areas of risk or inefficiency and implement training, corrective action, process improvements, or other enhancements.
Support the development, implementation, monitoring, and continuous improvement of Money Movement supervisory procedures, workflows, controls, policies, and technology.
Participate in high-priority Money Movement initiatives and cross-functional projects, helping translate business and regulatory needs into practical processes and solutions.
Support regulatory inquiries, compliance testing, internal audit requests, and other reviews related to Money Movement supervision.
Maintain current knowledge of regulations, firm policies, emerging risks, and Money Movement practices and ensure that knowledge is applied consistently across the team.
Present Money Movement supervisory topics, trends, process changes, or initiatives to stakeholders as needed.
Perform other duties and responsibilities as assigned.