Raymond James is seeking a Division Supervision Manager to oversee supervisory and risk functions in a remote capacity. The role involves partnering with management teams to ensure compliance with policies, conducting audits, and providing education on risk management practices
Job Summary
Oversees a broad range of supervisory and risk functions, ensuring adherence to business ethics, practices, and all relevant Federal, State, and Local laws, as well as firm policies and regulations.
Partners with Complex/Branch management teams within the assigned territory, overseeing supervisory functions, risk mitigation, and policy enforcement with Advisors and Branch Management.
Provides regular education and communication on processes and policies, promoting risk awareness and a compliant environment, and collaborates with leadership to address disciplinary concerns.
Matching Summary
Match Score: 85
Raymond James is seeking a Division Supervision Manager to oversee supervisory and risk functions in a remote capacity. The role involves partnering with management teams to ensure compliance with policies, conducting audits, and providing education on risk management practices.
Skills & Requirements
Must-have
supervisory and risk functions
policy enforcement
risk mitigation
regulatory compliance
advisors and branch management
Nice-to-have
professional and pleasant demeanor
Service 1st attitude
calm and professional manner
influence, motivate and persuade others
Key Requirements
Minimum of eight (8) years of Administrative Manager or Supervision experience in the financial services industry
Bachelor’s degree from college or university in related field
Appropriate series license(s) for assigned functional area required or the ability to obtain
Series 7, 9, 10, 66 required (or Series 63 and 65 as equivalent to 66)