Regional Supervision Manager - Midwest Region - Req. 1901203
The Regional Supervision Manager is responsible for a wide variety of supervisory, compliance, and risk functions. In conjunction with the Regional Supervision Officer, the Regional Supervision Manager has accountability for maintaining a consistent controlled environment through adherence of business ethics and practices and adherence to all applicable Federal, State and Local laws, Raymond James RJFS policies, and other regulations. The Regional Supervision Manager keeps the Regional Supervision Officer informed of significant matters.
Essential Duties and Responsibilities:
• Member of the Regional Supervision management team and participates in all the Regional Supervision management meetings regarding strategies, advisor communications, policies and procedures, etc.
• Primary responsibility for all risk, supervisory, and compliance function for respective Regional Supervision management team location(s) – works with the Branch Managers and Regional Supervision Officers to ensure appropriate supervisory coverage is maintained at all times.
• Ensures Regional Supervision Officers are aware and involved in managing supervisory and risk management issues through regular meetings, reporting/metrics, and escalations.
• Facilitates any supervisory inquiry or process that requires escalation from the field.
• Acts as a point of escalation for the central supervision centers of expertise and works with these areas to resolve any supervision issues with advisors and/or field management in their respective regions.
• Provides review and approval for any policy exceptions or branch processes that require senior management approval within the Regional Supervision management team.
• Interacts with the central review team to share trends and patterns and discuss FA/Client visits -- Builds intelligence on risk in regard to clients and FAs within their region.
• Will work with Branch Managers to make proactive client contact in determining suitability and managing risk when appropriate
• Performs a quality check on a portion of the supervisory issues that are remediated and documented for their by either the central supervision centers of expertise or local branch management.
• Conducts “mock audits” of the branches aligned to their Regional Supervision management team to ensure compliance with firm and regulatory policies
• Supports the preparation for and response to internal or regulatory audits and tracks identified issues by audit, regulators, and self-assessments to ensure that actions are taken and issues are remediated.
• Liaises with the Legal and Compliance Division with customer complaints and litigation.
• Ensure proper procedures are in place for the Regional Supervision management team to ensure that approvals are handled appropriately and timely -- Monitors and implements consistent enterprise procedures to manage all facets of risk, including data security.
• Facilitates regular and consistent communication of Raymond James RJFS policies and other regulations.
• Provides coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment.
Knowledge, Skills and Abilities:
• 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.
• Demonstrated ability to manage a distributed team of resources and establish and communicate clear directions and priorities for the team. Can execute consistent Human resource management principles and practices
• 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.
• 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
• 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’s degree from college or university in related field and a minimum of six (6) years of Administrative Manager experience in the financial services industry.
• An equivalent combination of experience, education, and/or training as approved by Human Resources.
• Series 7, 9 & 10 and/or 24 required.
• Series 63, 65 and/or 66 as required by state.
Ability to obtain additional securities and advisory state registrations if required by state.