Supervision Manager, Supervisory Solutions

Job Description Summary

Manages supervision oversight, ensuring adherence to firm and regulatory policies and procedures. Monitors day-to-day activities of financial advisors and registered sales assistants to ensure compliance with internal policies and procedures, and external regulations. Oversight activities include but are not limited to trade review, FINRA rule 3010 email review, advertising review, FA/client operational troubleshooting, new account and application review, annuity review, securities receipts review, cash deposit review, and outgoing/LOAs review. Responsible for ensuring any identified policy violations or branch deficiencies are addressed with the branch and fully remediated. Travel to branch locations to perform required annual Branch Manager Supervisory Visits. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with some latitude for un-reviewed actions or decisions. Uses extensive knowledge and skills obtained through education and experience to identify, research, analyze and resolve complex issues. Serves as the face of the organization and advocate for the branches they oversee.

Job Description

Essential Duties and Responsibilities

• Responsible for supervision oversight and ensuring adherence to firm and regulatory policies and procedures.

• Perform reviews of client accounts and documents submitted by the branch.

• Educates branch staff associates.

• Escalates concerns to senior management and may propose new policies or procedures regarding risk, adhering to compliance and operational risk controls in accordance with company and regulatory standards.

• Review and analyze monitoring reports and systems for suspicious/unusual patterns and follow-up with appropriate individual(s) for explanations and actions.

• Coordinates registrations, continuing education, licensing, etc. of branch personnel.

• Oversees branch activities.

• Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise with branch offices and work together with them to address and resolve these concerns.

• Implements and enforces policies and procedures for all business platform branch office locations not currently staffed with a licensed and qualified branch manager by serving as the designated manager or branch manager delegate of these OSJ locations.

• Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.

• Interprets, applies and recommends changes to organizational policies and procedures while adhering to compliance and operational risk controls in accordance with company and regulatory standards.

• Handles all administrative matters in the hiring/termination of FA and their transition in and out of the branches.

• Monitors Supervisory Center alerts and handles any necessary follow-up.

• Researches and resolves complex problems relating to clients’ accounts and inquiries.

• Identify needs of the team and find solutions to complex issues

• Communicates with the field regarding regulatory rules and firm policy changes.

• Serve as the face of the organization and advocate for the branches we oversee.

• Ensure any identified policy violations or branch deficiencies are addressed with the branch and fully remediated.

• Travel to branch locations to perform required annual Branch Manager Supervisory Visits.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

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.

Skill in

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

• Preparing and delivering clear, effective, and professional presentations.

• Identifying the needs of customers through effective questioning and listening techniques.

• Handling stressful situations and leading others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.

• Projecting a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.

• Employing good analytical skills to be able to research and resolve problems.

• Establishing and communicating clear directions and priorities.

• Utilizing good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel.

• Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.

• Effectively organizing, managing, tracking and completing multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

• Working independently, under minimal supervision.

Ability to

• Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.

• Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.

• Project a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.

• Travel extensively to perform required branch visits.

Educational/Previous Experience Requirements

Education/Previous Experience

• Bachelor’s degree (B.A.) from four-year college or university, and a minimum of six (6) years’ experience in a financial services firm / supervision

• ~OR~

• An equivalent combination of experience, education, and/or training as approved by Human Resources.

Licenses/Certifications

• SIE required provided that an exemption or grandfathering cannot be applied

• Series 7, 9/10 or 24, 66 or 63/65 required

• Series 53, Life, Health and Variable Annuity Licenses preferred

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

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.

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