• Job Description

  Req#: 614480
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  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
  Raymond James Financial Private Client Group is hiring a Manager within the Advisor Onboarding Supervision team to manage the execution of the plan of supervision for transitioning financial advisors and other staff to Raymond James through the firm’s advisor onboarding process. The Manager of Onboarding Supervision reports directly to the VP Associate Activity Supervision.
  The Onboarding Supervision team works in partnership with Division Management, Transitions, Registrations, and Supervision partners to obtain required onboarding documentation, review the obtained documentation, identify irregularities or potential regulatory and policy issues, and provide guidance related to the registered persons affiliation with Raymond James. The candidate will need to resolve and/or recommend solutions to complex problems. Leads defined work or projects which may entail considerable scope and complexity. Maintains extensive contact with internal partners to identify, research, and resolve problems.
  Essential Duties and Responsibilities:
  • Proactively ensures compliance with applicable industry rules (State, FINRA & SEC) and platform policies and procedures as they apply to transitioning financial advisors and other staff.
  • Manages a team associates tasked with the execution of the Advisor onboarding process including completion of the Registration packet
  • Collaborating with RJFS sales management associates to inform them of any supervisory concerns that may arise and works together with them to address these concerns as well as to resolve any conflicts that may arise.
  • Ensures Supervision Management and others are aware and involved in managing supervisory and risk management issues through regular meetings, reporting/metrics, and escalations.
  • Manage the continued development of written supervisory procedures in the areas of coverage.
  • Serves as a point of approval for escalations, policy exceptions, or processes that require supervisory management approval or sign off.
  • Coordinate development of metrics with Home Office, Division Management, and Central Supervision Teams to review trends and patterns across FAs and Complexes.
  • Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.
  • May consult independently with staff and recommend actions to ensure compliance with existing rules and regulations as well as prevent potential liability.
  • Perform the duties of their team members including but not limited to providing onboarding documentation, review and obtain required approvals, provide guidance to other process stakeholders.
  • Performs other duties and responsibilities as assigned.
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  Knowledge, Skills, and Abilities:
  
  Knowledge of:
  • Comprehensive understanding of company policies and procedures and industry rules and regulations.
  • Strong foundation in supervisory concepts, practices and procedures used in the securities industry, financial markets and financial products.
  • Human resource management principles and practices.
  • Subject Matter Expertise in the Supervision of Advisor activities, specifically Account Opening, Conflicts of Interest, and State Registrations.
  • Company’s working structure, policies, mission, and strategies.
  • General office practices, procedures, and methods.
  • Rules and regulations of Securities Exchange Commission (SEC) including the Marketing Rule under the Investment Advisers Act; Financial Industry Regulatory Authority (FINRA) including FINRA 3270 Outside Business Activities, FINRA 3210 Accounts at Other Brokers and Financial Institutions, and FINRA 3220 Gifts, Gratuities and Non-Cash Compensation; and state securities regulatory agencies.
  Skill in
  • A professional and pleasant demeanor to work with advisors and internal 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 team of approximately 10 Onboarding Supervision resources and the ability to influence execution by associates not in your reporting line.
  • Interviewing and selecting staff, coaching and mentoring, and identifying and delivering training needs.
  • Planning, assigning, monitoring, reviewing, evaluating and supervising the work of others.
  • Operating standard office equipment and using required software applications to reports, electronic communication, spreadsheets, and databases.
  • Maintain and enhance the DocuSign and Box platforms.
  • Detail orientation to ensure firm adherence to policy & procedures.
  Ability to
  • Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.
  • Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.
  • Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels.
  • Work effectively with Financial Advisors to ensure adherence to firm policies and procedures as necessary.
  • Establish and communicate clear directions and priorities.
  • Provide a high level of customer service.
  Educational/Previous Experience Requirements:
  
  • Bachelor’s degree (B.A) in a related discipline and a minimum of six (6) years experience in Supervision and/or the financial services industry.
  ~or~
  • Any equivalent combination of experience, education, and/or training approved by Human Resources.
  
  Licenses/Certifications:
  • FINRA Series 7, 24 or 9/10 (or equivalent), S66 Preferred. Ability to obtain additional licenses within designated timeframe.
  • Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
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  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

• About the company

  Raymond James Financial is an American multinational independent investment bank and financial services company providing financial services to individuals, corporations and municipalities through its subsidiary companies that engage primarily in inves...

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