Senior Manager, Supervision- Governance (Remote Option Available)

Department Overview:

Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to 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:

Under limited supervision, uses extensive knowledge and skills obtained through education, experience, specialized training or certification to assist in drafting supervisory procedures and other related documents. This role will coordinate with key associates within Supervision and other control functions to draft, edit and pre-vet procedures and other documentation needed within Supervision, while taking into account the regulatory environment, internal policies, control adequacy and business model. This role will also assist and partner with compliance partners to pre-vet compliance policy and compliance policy-related documents to confirm supervisory controls align with policy standards, and determine if changes to supervisory procedures are required as a result of those policy changes. May be assigned other tasks, 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 material

• 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 challenge 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 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 practice

Skill in:

• Excellent writing and presentation skill

• Strong PowerPoint skill

• 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 that 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 deadline

• Maintain confidentiality.

• Work independently with minimal direct supervision.

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with 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.

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 outcome

• 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