- Saint Petersburg, Florida
Saint Petersburg, Florida
Manager, Supervision Communications Review (Remote Option Available)-2401655
Description
Department 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
Under limited supervision, uses specialized knowledge and skills obtained through experience, specialized training or certification to detect possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Lead and support associates during functional reviews and provide advanced support to our Financial Advisor and Corporate Advisory departments, focusing specifically on the policies and procedures required by applicable regulators for advertising materials. Effectively and professionally coordinate with senior members of Supervision, other managers, and advisors in order to guide and influence decisions that mitigate risk and align with the firm's culture and strategy.
Essential Duties and Responsibilities
Performs human resources management activities, including identifying/correcting performance problems and participating in interviewing and selecting staff
Qualifications
Knowledge, Skills, and Abilities
Knowledge of
Company's working structure, policies, mission, and strategies.
Rules and regulations of the Securities Exchange Commission (SEC) Financial Industry Regulatory Authority (FINRA) and state securities regulatory agencies and/or Federal Deposit Insurance Corporation (FDIC) Office of the Comptroller of the Currency (OCC) Federal Financial Institutions Examination Council (FFIEC) Office of Thrift Supervision (OTS) Federal Reserve System and state banking regulatory agencies.
Fundamental investment concepts, practices and procedures used in the securities industry.
Principles of banking and finance and securities industry operations.
Financial markets and products.
Skill in
Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.
Ability to
Independently manage and complete multiple projects and tasks work independently with minimal direct supervision.
Educational/Previous Experience Requirements
Bachelor's degree (B.A) in a related discipline and a minimum of six (6) years of experience in Supervision and/or the financial services industry.
Licenses/Certifications
Series 7,24,66 license(s)for assigned functional area required.
Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred
Raymond James Guiding BehaviorsAt Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firms core values of client-first, integrity, independence and a conservative, long-term view.We expect our associates at all levels toAt 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.
Job
Compliance
Primary Location
US-FL-St. Petersburg-Saint Petersburg
Organization
Supervision
Schedule
Full-time
Shift
Day Job
Travel
Yes, 5 % of the TimeSalary Range CO, CA, DC, HI, IL, NJ, NY, WA (based on Education, Work Experience, and Geographic Location)$100,000- $110,000Eligible for Discretionary BonusYes#LI-AF1