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.

Under limited supervision, uses specialized knowledge and skills obtained through experience, specialized training or certification to detect possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Lead and support associates during functional reviews and provide advanced support to our Financial Advisors and some home office departments, focusing specifically on the policies and procedures required by applicable regulators for advertising materials in Social Media. Effectively and professionally coordinate with senior members of Supervision, other managers, our Marketing Department, and advisors in order to guide and influence decisions that mitigate risk and align with the firm’s culture and strategy.

• Plans, assigns, monitors, reviews, evaluates, and leads the work of others.

• Performs human resources management activities, including identifying/correcting performance problems and participating in interviewing and selecting staff
• Monitors and escalates potential risks within the program

• Facilitates and leads projects of various scales on behalf of Social Media supervision in coordination with Senior Management
• Coaches and mentors subordinates, identifies training needs, and recommends appropriate development
• Interfaces with Compliance, Supervision, Marketing, and associates to inform them of any supervisory concerns that may arise with branch office managers/FAs and works together with them to address these concerns.
• Serve as a trusted business partner to our Financial Advisor teams and by providing expertise with regards to advertising/retail communications in the social media space.
• Prepares and delivers written and oral presentations to business units.
• May participate in the formation and maintenance of Supervisory procedures and Financial Advisor resources
• Performs other duties and responsibilities as assigned.