Job Description Summary

The Traditional Products team oversees exception reviews for annuity and insurance transactions, along with select packaged product supervisory functions. This team conducts complex suitability analyses to identify trends and trading patterns, ensuring compliance with industry regulations and minimizing firm liability.

The Supervision Manager will operate with a high level of autonomy, leveraging deep regulatory knowledge to guide and support the supervision of Traditional Products. This role leads impactful projects and cross-functional initiatives, influences strategic direction, and develops tactical plans. The manager resolves escalated issues, delivers comprehensive solutions, and ensures goals and objectives are met.

Extensive interaction with internal stakeholders is required to research, analyze, and resolve complex supervisory matters. The manager will collaborate closely with Field Supervision and Financial Advisors to oversee transactions and provide expert, value-added supervision in communications and decision-making.

Job Description

Essential Duties and Responsibilities

• Performs human resources management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, as well as participating in interviewing and selecting staff.

• Plans, assigns, monitors, reviews, evaluates and leads the work of others.

• Coaches and mentors subordinates, identifies training needs, and recommends appropriate development programs.

• Interfaces with regional management associates to inform them of any supervisory concerns that may arise with branch office managers/FAs and works together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts.

• Monitors and keeps up to date with regulations regarding trading activity in client accounts and applies them accordingly.

• May participate in the formation of policies related to compliance.

• Trains new associates

• Acts as a mentor to new associates by sharing resources and encouraging their growth

• Takes on complex and extensive projects outside of regular duties for Senior Management

• Assists other reviewers/cross trained in other departmental reviews

• Develops new procedures and best practices for workflows

• Conducts testing of new alerts and procedures

• Acts as the point person for other departments with regards to Supervisory Reviews

• Builds relationships with advisors in the field fostering a positive relationship

• Makes calls to advisors to resolve issues/educate on procedures

• Reviews escalations from other areas and determines and addresses as applicable

• Performs other duties and responsibilities as assigned.

• Balances conflicting resource and priority demand

Knowledge, Skills, and Abilities

Knowledge of

• Strong knowledge of investments, trading, annuities, insurance products, and related regulations (SEC, FINRA, FDIC, state and federal).

• Understanding of suitability and compliance issues related to branch manager/FA activity and retail operations.

• Familiarity with Raymond James systems, company structure, policies, and strategies.

• Knowledge of general office practices and securities industry operations.

• Ability to interpret and apply regulatory rules and compliance policies effectively.

• Strong knowledge of investments, trading, annuities, insurance products, and related regulations (SEC, FINRA, FDIC, state and federal).

Skill in

• Operate standard office equipment and software to produce professional communications, reports, spreadsheets, and databases.

• Apply critical thinking and decision-making skills, including interpreting regulatory rules and compliance policies.

• Maintain strong attention to detail to minimize regulatory risk without disrupting workflow.

• Demonstrate professional phone etiquette and effective communication.

• Investigate and identify sales practice issues and irregularities.

• Make rule-based and analytical decisions confidently.

Ability to

• Manage, coach, and mentor others; establish and communicate clear directions and priorities.

• Independently manage multiple projects and tasks with minimal supervision; organize, prioritize, and track assignments efficiently.

• Communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers and Financial Advisors.

• Provide a high level of customer service, including handling escalations and stressful situations calmly and professionally.

• Work effectively with Financial Advisors as their sales supervisor, enforcing company policies and procedures as needed.

• Facilitate meetings to ensure all viewpoints, ideas, and concerns are addressed.

• Manage, coach, and mentor others; establish and communicate clear directions and priorities.

Education/Previous Experience

• Bachelor’s degree (B.A) in related discipline and a minimum of eight (8) years’ experience in retail securities sales, sales management, operations, or compliance.

• ~OR ~

• Any equivalent combination of experience, education, and/or training 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 a Series 7, 24 and 63

• Series 66 can be used instead of the 63

• Series 9 and 10 can be used instead of the 24

• State Annuity and Life License for resident state.

• 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.

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