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Senior Manager, Supervision - International Oversight - Req. 1900886


Job Summary:

The International Oversight Manager will manage the subsidiary governance framework and its execution for Raymond James’ non-U.S. subsidiaries and affiliates.  The candidate will perform the responsibilities under general direction, with a high level of autonomy, using extensive knowledge and skills obtained through education and experience.  The Manager will oversee implementation of the framework designed to support coordination between RJF and its non-US subsidiaries by leading the facilitation of agreement on certain common standards for the international subsidiaries.  The Manager will also implement processes for the management of reporting by non-US subsidiaries to RJF management designed to ensure compliance with US and non-US business and regulatory standards, including Federal Reserve requirements, and alignment with RJF values. The Manager will establish key relationships and liaise with various areas of the firm to ensure coordination of resources and supervision as necessary. In coordination with other functional teams in the U.S. and abroad, the Manager will maintain ownership for performing a comprehensive analysis of the subsidiary risk exposure and appetite, required reporting structures and content, as well as governance structures and subsidiary processes and controls.  The International Oversight Manager works directly for the Head of Cross Border Strategy and Oversight and helps with executive meetings, projects, and emerging issues.


This is a highly visible role and the candidate will work closely with senior executives. Extensive contact with internal (i.e., subsidiary managers and leadership, internal Compliance and Risk managers, other team members, etc.) and external (i.e., industry peers, regulators etc.) customers is required to identify, research, and resolve complex problems in selling or servicing products and business planning. 

The candidate will report to Raymond James’ Head of Cross Border Strategy and Oversight.


Essential Duties and Responsibilities:

• Develops a reporting framework based on the Raymond James Financial parent’s needs.

 • Supports assigned International Oversight related strategy, Supervision and Compliance projects.

• Serves in an advisory capacity with respect to decisions to manage current and new subsidiaries.

• Executes governance reviews and provides necessary research information to formulate, qualify, liquidate and dissolve legal entities.

• Helps manage any assigned International Oversight related emerging issues.

• Supports activities related to board and legal entity governance.

• Develops executive presentations.

• Helps manage subsidiary administration and oversight executive meetings and updates.

• Assists in due diligence and other corporate matters in connection with subsidiary transactions.

• Demonstrates a commitment to creating an environment in which the oversight framework is managed in a manner consistent with the firm's core values - namely putting the interests of clients first.

• Collaborates with the non-U.S. subsidiary teams to evolve the collaboration and oversight framework and address areas of concern.

• Maintains strong relationships with subsidiary partners and other internal and external stakeholders.

• Networks with industry contacts to continually benchmark Raymond James’ governance framework and international presence against industry norms and activity.

• Collaborates with Operations and Technology team to support the objective of having processes and systems standardized and streamlined where possible.

• Provides general education, subsidiary governance specific education, and support on advisor and home office requests.

• Interprets, applies and recommends changes to organizational policies and procedures.

• Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; identifying training needs, evaluating performance; and interviewing and selecting staff. 

• Coaches and mentors subordinates, identifies training needs and recommends development programs.

• Plans, assigns, monitors, reviews, evaluates and leads the work of associates.

• Performs other duties and responsibilities as assigned.


Knowledge, Skills, and Abilities:

Knowledge of:

• Corporate governance and public company structures and frameworks.

• Entity management principles, including entity management software.

• Principles of banking & finance and securities industry operations including finance, accounting, budgeting, and cost control procedures.

• Concepts, practices, and procedures of governance and reporting processes in a financial services/broker-dealer environment.

• Investment concepts, practices and procedures used in the securities industry regarding applicable legislation, compliance standards, policies, and procedures within assigned business area.

• Operational infrastructure of the firm, including how reporting structures are maintained within the existing infrastructure.

Skill in:

• Organizing, managing, and tracking multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

• Strong desire to produce outstanding output, as a way to differentiate and make a case for career advancement.

• Industry knowledge, critical thinking, excellent verbal & written communication skills, collaborative spirit, and leadership by words, and more important, actions.

• Cultivating and maintaining effective working relationships at all levels of the organization and in the industry.

• Critical thinking and problem solving with limited supervisory guidance.

• Implementing strategies and tactical plans across organizational lines.

• Proven strong negotiation, conflict resolution and relationship management skills.

• Forward thinking with an ability to successfully develop and implement strategic plans calling for substantial asset growth.

• Performing industry research, identifying market segments, developing product specifications and incorporating requirements into planning processes.

• Developing business development strategies.

• Gathering and compiling information and data.

• Basic database and technology concepts.

• Identifying the needs of customers through effective questioning and listening techniques.

• Preparing and delivering clear, convincing and professional sales presentations.

• Problem solving sufficient to effectively analyze, research and resolve inquiries and issues in a timely manner.

• Analyzing business processes and identifying process improvement opportunities.

• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, and spreadsheets.

Ability to:

• Demonstrate uncompromising adherence to ethical principles.

• Represent the company in a highly professional manner.

• Establish clear directions and priorities.

• Multi-task, work in teams, self-motivate/take initiative, innovate, work independently, adapt, accept and lead change, meet deadlines

• Ability to work independently and effectively in a fast-moving environment.

• Rigorous devotion to detail and organization; process-oriented.

• Excellent interpersonal and communications skills.

• Exceptional time management skills and ability to prioritize multiple projects across several international subsidiaries and functional departments.

• Courage to take initiative, address problems, and make continuous process improvements.

• Willing to work on a broad variety of legal and corporate matters.

• Develop and maintain effective working relationships with team members, internal partners, and external parties.

• Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes.

• Promote team cohesiveness, cooperation, and effectiveness.

• Lead others in providing a high level of customer service.

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

• Partner with international subsidiaries and other functional areas to accomplish objectives.

• Gather information, identify linkages and trends and apply findings to assignments.

• Balance conflicting resource and priority demands.

• Read and interpret complex legal documents such as partnership agreements.

• Read and interpret financial reporting information.

• Organize, prioritize, and manage tasks and projects to complete work efficiently. 

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives and convince others to accept ideas or goals.

• Assimilate and prioritize strategies into operational guidelines.

• Work independently as well as collaboratively within a team environment.

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A) in a related discipline and a minimum of eight (8) years experience in retail securities sales, sales management, operations, or compliance. Juris Doctor (J.D.) or Masters of Business Administration (M.B.A.) preferred.


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


• Project management qualification preferred

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.