Senior Advisor, Branch Manager Supervisory Principal (Remote Option Available)
Company: Raymond James Financial, Inc.
Location: Saint Petersburg
Posted on: January 26, 2023
Job Description:
DescriptionDepartment 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.Job Summary:Manages the compliance oversight, ensuring
adherence to firm and regulatory policies and procedures. Monitors
activities of branch managers to ensure compliance with internal
policies and procedures, and external regulations. Oversight
activities include the review and approval of activity for branch
managers that require supervisory oversight. 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.Essential Duties and Responsibilities:
- Responsible for compliance oversight and ensuring adherence to
firm and regulatory policies and procedures.
- Performs reviews of client accounts and documents that are
submitted on behalf of branch managers that require supervisory
oversight.
- 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 compliance monitoring reports and systems
for suspicious/unusual patterns and follow-up with appropriate
individual(s) for explanations and actions.
- Interfaces with business platform sales management associates
to apprise them of any supervisory concerns regarding branch
offices and work together with them to address these concerns as
well as to resolve any potential conflicts that may have arisen
pertaining to the client accounts of branch managers
- 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.
- Communicates with the field regarding regulatory rules and firm
policy changes.
- Performs other duties and responsibilities as
assigned.QualificationsKnowledge, Skills, and Abilities:Knowledge
of:
- Comprehensive understanding of company policies and procedures
and industry rules and regulations.
- Investment concepts, practices and procedures used in the
securities industry.
- Financial markets and 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 lead 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.
- Establishing 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.
- Work 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.Educational/Previous
Experience Requirements:
- Bachelors degree (B.A.) from four-year college or university,
and a minimum of five (5) 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:
- Series 7, 9/10 or 24, 66 or 65/63 is RequiredJob: Auditing &
CompliancePrimary Location: US-FL-St. Petersburg-Saint
PetersburgOrganization SupervisionSchedule Full-timeJob Shift Day
JobTravel Yes, 5 % of the TimeReq ID: 2204688
Keywords: Raymond James Financial, Inc., St. Petersburg , Senior Advisor, Branch Manager Supervisory Principal (Remote Option Available), Executive , Saint Petersburg, Florida
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