Field Supervision Manager

Job Description Summary

The Field Supervision Manager/Division Supervision Manager (FSM/DSM) oversees a broad range of supervisory and risk functions. Working closely with the Division Supervision Officer (DSO), the FSM/DSM ensures a controlled environment by adhering to business ethics, practices, and all relevant Federal, State, and Local laws, as well as Raymond James RJA or RJFS policies and regulations. They are responsible for keeping the DSO and Branch management teams informed of significant issues. Additionally, they partner with advisors and management to address various business needs and risks.

Job Description

Essential Duties and Responsibilities

• Partners with Complex/Branch management teams within the assigned territory, overseeing supervisory functions, risk mitigation, and policy enforcement with Advisors and Branch Management.

• Participates in Complex/Branch/Division meetings to discuss strategies and communicate updates/changes to policies and procedures.

• Ensures Complex/Branch Managers are informed and involved in supervisory and risk management issues through regular meetings, reporting, metrics, and escalations.

• Assists in creating and presenting quarterly risk and supervisory updates to Divisional Leadership teams.

• Facilitates escalated supervisory inquiries or processes from Advisors and Branch Management teams.

• Acts as an escalation point for Supervision’s Centers of Expertise, resolving supervision issues with advisors and/or branch management.

• Reviews and advises on supervisory processes and compliance policies requiring senior management approval.

• Conducts periodic reviews of documented supervisory matters, ensuring adherence to supervisory plans and proper documentation.

• Assists complexes/branches in audit preparation to ensure compliance with firm and regulatory policies and implements controls to resolve and manage Branch Exam issues.

• Liaises with Legal and Compliance Divisions on customer complaints and litigation.

• Provides regular education and communication on processes and policies, promoting risk awareness and a compliant environment.

• Collaborates with Division Supervision Officer, Branch Management teams, and Divisional Leadership to address disciplinary concerns and assist in issuing discipline when necessary.

• Provides monthly updates on Supervision Metrics and may present at Quarterly Metrics meetings.

• May lead various meetings and calls, such as the National Operations Manager Call and Divisional Calls.

• Reviews third-party vendor requests to ensure compliance with policies and procedures.

• Supports the supervision of producing Branch Managers.

• May provide training and development for new FSM/DSM hires and support the FSM/DSM team as a point-of-contact.

• Manages special projects as needed.

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.

• A proven leader who can establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.

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

• Commitment to providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.

• Ability to effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

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

• Work independently, under minimal supervision.

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

Skill in

• Dealing with clients, financial advisors, support staff and home office personnel in all types of matters including those that may be sensitive

Ability to

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

• Execute consistent Human resource management principles and practices.

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

• Provide a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.

• Effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

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

• Work independently, under minimal supervision.

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

Education/Previous Experience

• Bachelor’s degree from college or university in related field and a minimum of six (6) years of Administrative Manager or Supervision experience in the financial services industry.

• ~OR ~

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

Licenses/Certifications

• Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe.

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

• Required to have Series 7, 9, 10, 66

• Series 63 and 65 can be used as an equivalent to the 66

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Education

Work Experience

Certifications

Salary Range

$100,000.00-$0.00

Travel

Less than 25%

Workstyle

Remote

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. 

We expect our associates at all levels to:
•  Grow professionally and inspire others to do the same
•  Work with and through others to achieve desired outcomes
•  Make prompt, pragmatic choices and act with the client in mind
•  Take ownership and hold themselves and others accountable for delivering results that matter
•  Contribute to the continuous evolution of the firm

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. 

#LI-AF1