Field Supervision Manager

Raymond James

Remote
$100,000.00-$112,000.00 py
Remote
Supervisory and risk functions oversight
Policy enforcement with advisors
Risk mitigation strategies
Raymond James is seeking a Field Supervision Manager to oversee supervisory and risk functions within a remote setting. The role involves collaboration with branch management and advisors to ensure compliance with regulations and company policies while promoting a culture of risk awareness

Job Summary

  • Oversees a broad range of supervisory and risk functions, ensuring adherence to business ethics, practices, and all relevant laws and policies.
  • Partners with Complex/Branch management teams to enforce policies, mitigate risks, and address business needs.
  • Acts as an escalation point for supervisory inquiries and collaborates with Legal and Compliance Divisions on customer complaints and litigation.

Matching Summary

Match Score: 85

Raymond James is seeking a Field Supervision Manager to oversee supervisory and risk functions within a remote setting. The role involves collaboration with branch management and advisors to ensure compliance with regulations and company policies while promoting a culture of risk awareness.

Salary

$100,000.00-$112,000.00

Skills & Requirements

Must-have

  • Supervisory and risk functions oversight
  • Policy enforcement with advisors
  • Risk mitigation strategies
  • Customer complaint and litigation liaison

Nice-to-have

  • Professional and pleasant demeanor
  • Service 1st attitude
  • Calm and professional manner

Key Requirements

  • Minimum six (6) years of Administrative Manager or Supervision experience in financial services
  • Bachelor’s degree in a related field or equivalent experience
  • Series 7, 9, 10, 66 licenses required (or Series 63 and 65 as equivalent to 66)
  • SIE required if exemption/grandfathering not applicable

Work Rights

Not specified

Tailored Resume

Cover Letter