Department Overview:
Raymond James Financial is a diversified holding company based in Florida and headquartered in Saint Petersburg, FL. The company provides financial services to individuals, corporations, and municipalities through its subsidiary companies. These subsidiaries are primarily involved in investment and financial planning, as well as 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:
As a Senior Manager, you will use your extensive knowledge and skills acquired through education, experience, specialized training, or certification to help draft supervisory procedures and other related documents. You will collaborate with key associates within the Supervision and other control functions to draft, edit, and pre-vet procedures and other documentation needed within Supervision. The aim is to consider the regulatory environment, internal policies, control adequacy, and business model. Additionally, you will work alongside compliance partners to pre-vet compliance policy and compliance policy-related documents to ensure that supervisory controls align with policy standards. Furthermore, you will determine if changes to supervisory procedures are required as a result of those policy changes. Other tasks may also be assigned as needed.
Essential Duties and Responsibilities:
Knowledge, Skills, and Abilities:
Knowledge of:
Skill in:
Ability to:
Educational/Previous Experience Recommendations:
~or~
Licenses/Certifications:
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