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Description

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:

• Coordinates the creation and/or updating of written supervisory procedures (WSPs) and desktop procedures in response to compliance policy updates, regulatory changes, control changes, or otherwise.

• Interfaces with associates of varying levels of seniority to create procedural documents and meeting materials.

• Maintains, schedules, and leads/participates in various governance routines.

• Creates meeting agendas and meeting minutes.

• Monitors and keeps up to date with regulations regarding financial services and applies them accordingly.

• Provides critical challenges as part of the supervision governance process.

• Assists in responding to regulatory requests when appropriate.

• Prepares and delivers written and oral presentations to business units.

• Coordinates pre-vetting of policies, procedures, or any other applicable document.

• Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities:

Knowledge of:

• Drafting policies or procedures related to the financial services industry.

• Strong foundation in supervisory concepts, practices, and procedures used in the securities industry, financial markets, and financial products.

• Risk management concepts in the financial services industry.

• Knowledge of the rules and regulations of the Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and state securities regulatory agencies sufficient to perform the functions of this job.

• Human resource management principles and practices

Skill in:

• Excellent writing and presentation skills

• Strong PowerPoint skills

• Reviewing materials for compliance with policies, rules, and regulations.

• Operating standard office equipment.

• Preparing and delivering presentations.

• Excellent organizational skills and ability to multi-task.

• Critical thinking and decision-making involving the interpretation of regulatory rules and compliance policies.

• Detail-orientated to ensure information is clear, concise, and accurate.

• Utilizing business-appropriate phone manners.

Ability to:

• Provide training, coaching, and mentoring for others.

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring all viewpoints, ideas, and problems are addressed.

• Attend to detail while maintaining a big-picture orientation.

• Interpret and apply securities and/or banking regulations and identify and recommend changes as appropriate.

• Work under pressure on multiple tasks concurrently and meet deadlines.

• Maintain confidentiality.

• Work independently with minimal direct supervision.

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, at all organizational levels.

• Establish and communicate clear directions and priorities.

• Establish and maintain effective working relationships at all levels of the organization.

• Provide a high level of professionalism.

Educational/Previous Experience Recommendations:

• 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. Law degree preferred.

or

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

Licenses/Certifications:

• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.

Job: Compliance

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Organization Supervision

Schedule Full-time

Job Shift Day Job

Travel Yes, 10 % of the Time

Req ID: 2402769