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Job Snapshot
-
Employee Type:
Full-Time -
Location:
St. Petersburg, FL -
Job Type:
-
Experience:
Not Specified -
Date Posted:
9/24/2024
Job Description
Job Summary
The Field Supervision Manager is responsible for a wide variety of supervisory, compliance, and risk functions for the Associate Financial Services (AFS) and Investment Central (IC) departments. In conjunction with the Division Supervision Officer, the Field Supervision Manager has accountability for maintaining a consistent controlled environment over their control area through adherence of business ethics practices and adherence to all applicable Federal, State and Local laws, Raymond James policies (RJA & RJFS), and other regulations. Responsible for ensuring the Division Supervision Officer and Business Leadership in AFS and IC are informed of significant matters.
Essential Duties and Responsibilities:
Job Requirements
Qualifications:
Strong interpersonal and communication skills to deal with clients, financial advisors, support staff and home office personnel in all types of matters including those that may be sensitive.
Comprehensive understanding of company policies and procedures and industry rules and regulations.
Strong foundation in 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.
Educational/Previous Experience Requirements:
Bachelor%26rsquos degree from college or university in related field and a minimum of six (6) years of Administrative or Operations Manager 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.
oSIE required provided that an exemption or grandfathering cannot be applied
oRequired to have Series 7, 9, 10 and 66
oSeries 24, 53 and 4 can be used as an equivalent to the 9 and 10
oSeries 63 and 65 can be used as an equivalent to the 66
Additional licenses/certifications demonstrating the candidate%26rsquos knowledge/expertise in industry regulation and concepts preferred.
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:
