Job Description Summary

The Vice President of Advisory Supervision is a strategic leader responsible for ensuring the integrity, compliance, and effectiveness of Raymond James’ investment advisory programs. This role operates with a high degree of autonomy and influence, driving firm-wide initiatives that support prudent supervisory practices and mitigate risk. The VP leads cross-functional efforts to uphold regulatory standards and firm policies across a diverse advisory landscape, including Prudent Process, Independent Registered Investment Advisers (IRIA), Corporate RIA, and both discretionary and non-discretionary platforms. This position requires a strong proactive, vocal, and visible leadership presence, a continuous improvement mindset, and the ability to guide teams and processes in a dynamic regulatory environment. The VP will operate at different levels of granularity which span guiding direct reports to advising senior Private Client Group (PCG) management on future program direction.

Job Description

Essential Duties and Responsibilities

• Lead strategic initiatives and partner with cross-functional teams to enhance supervisory practices.

• Demonstrate proactive, vocal, and visible leadership by setting clear expectations, driving accountability, and fostering a culture of transparency and engagement across teams and stakeholders.

• Collaborate closely with Risk, Legal, Compliance, and PCG to ensure supervisory practices align with regulatory expectations, mitigate firm risk, and support advisor and client outcomes.

• Develop and implement a robust supervisory framework for investment advisory programs.

• Monitor regulatory changes and ensure firm-wide compliance across advisory activities.

• Foster a continuous improvement mindset by proactively identifying and executing process enhancements that optimize supervisory effectiveness, increase efficiency, and support scalable growth.

• Manage, mentor, and develop a team of supervisory professionals.

• Provide training, guidance, and career development support to team members.

• Deliver presentations and reports to senior leadership and stakeholders.

• Lead or contribute to additional projects based on expertise, including program design and implementation.

Knowledge, Skills, and Abilities
Knowledge of

• Advanced investment concepts and securities industry procedures.

• Investment Company Act of 1940 and SEC regulatory environment.

• Financial advisor business models and supervisory needs.

Skill in

• Strategic and analytical thinking to align regulatory, firm, advisor, and client needs.

• Establishing KPIs and linking them to business outcomes.

• Building and maintaining collaborative relationships across departments.

• Influencing decisions and communicating effectively at all levels.

• Coaching and leadership to support team growth and performance.

• Working knowledge of how technology can support the investment advisory supervision function.

Ability to
• Develop and execute strategic plans aligned with company goals.

• Navigate organizational structures and build consensus.

• Lead change initiatives and foster innovation.

• Communicate clearly across diverse audiences.

• Work independently and collaboratively in a dynamic environment.

Educational/Previous Experience Requirements
Education/Previous Experience

• Bachelor’s degree or related experience

• 12+ years of Supervision experience, preferably in a retail financial services firm

• ~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources

Licenses/Certifications

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

• 7, 24, 65 or 66 Required

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

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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