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Division Supervision Officer - Alex Brown - Req. 1901831


Description


Job Summary:
The Division Supervision Officer is responsible for a wide variety of supervisory, and risk functions related to their Division. In conjunction with those in regions and branches performing supervisory functions, the Division Supervision Officer has accountability in their division for maintaining a consistent control environment through adherence of business ethics and practices and adherence to all applicable Federal, State and Local laws, Raymond James RJA policies, and other regulations.


The Division Supervision Officer keeps the Division’s management team, inclusive of President, Chief Operating Officer, Regional Directors, and branches informed of significant matters within the division and must determine when others within the division and/or the President of Alex. Brown and Head of RJA Supervision should be directly involved.   The Division Supervision Officer will report directly to the Head of RJA Supervision. 
 
Essential Duties and Responsibilities:

• Division Management and Oversight Duties
o Member of the Division management team and participates in all Division level meetings regarding strategies, field communication, policies and procedures, etc.
o Works with Alex. Brown President, Chief Operating Officer and Business Unit Risk Manager and other leadership team members on the communication, integration, and implementation of supervisory initiatives within their Division, proactively mitigates risks, identifies areas of concern and handles day to day issues as they arise.
o Focuses on business ethics and regulatory and compliance practices.


• Division Supervision Duties
o Primary responsibility for supervisory activities for respective Division location(s) – works with the Regional Directors, and Branch Management teams to ensure appropriate supervisory coverage is maintained at all times.
o Ensures Alex. Brown President, Chief Operating Officer and Business Unit Risk Manager are aware and involved in managing supervisory and risk management issues through regular meetings, reporting/metrics, and escalations.
o Ensures proper procedures are in place to guarantee approvals are handled appropriately and timely
o Serves as a point of approval for escalations, policy exceptions, or processes that require senior management approval or sign off at the Division level.
o Communicates with advisors, branch management, and central supervision teams to resolve any supervisory inquiry or process that requires escalation from the branch management teams within their division.
o Coordinates with Home Office, Division Management, and Central Supervision Teams to review trends and patterns across FAs and Branches.
o Performs quality checks on a portion of the supervisory activities
o Ensures procedures are in place for self-audits. Provide coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment within the Division.  Coordinates with Branch management teams to ensure resolution of any Compliance review matters.
o Performs other duties and responsibilities as assigned.

 

*LI-MM2


Qualifications


Knowledge, Skills, and Abilities:
• A proven leader who can establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes. 


Knowledge of:
• 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. 
• Understanding of complex products and complex client structures including institutional investors, family offices, and Private Investment Companies.
• Understanding of investment objectives and strategies employed by sophisticated domestic and international high net worth clients. 
• Human resource management principles and practices.
• Finance, accounting, budgeting, and cost control policies and procedures.
• Company’s working structure, policies, mission, and strategies, and compliance guidelines


Skill in:
• Projecting a professional and pleasant demeanor to work with advisors and clients; utilize tact and diplomacy in dealing with employees and clients in a deadline-driven environment.
• Strong interpersonal and communication skills to deal with financial advisors, support staff, home office personnel, and clients in all types of matters including those that may be sensitive
• Managing a distributed team of resources
• Negotiating and managing contractual arrangements.
• Developing policies, objectives and short-and long-range plans and implementing projects and programs to accomplish goals.


Ability to:
• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
• Balance conflicting resource and priority demands.
• Foster a cooperative work environment and partner with other functional areas to accomplish objectives.
• Attend to detail while maintaining a big picture orientation.
• Articulate reasons behind decisions.
• Keep all appropriate parties up-to-date on decisions, changes, and other relevant information.
• Establish and maintain effective working relationships with others.


Educational/Previous Experience Requirements:
• Bachelor’s degree (B.A.) and a minimum of ten (10) years in the financial services industry, preferably including related operational management and supervisory experience.
~or~
• Any equivalent combination of experience, education, and/or training.


Licenses/Certifications:

Series 66 or 63 & 65

Series 9 & 10

Florida General Life Insurance Agent License (2-15)


Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe (120 days).


Raymond James Guiding Behaviors

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