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Essential Duties and Responsibilities

• Performs human resources management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, as well as participating in interviewing and selecting staff.

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

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

• Interfaces with regional management associates to inform them of any supervisory concerns that may arise with branch office managers/FAs and works together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts.

• Monitors and keeps up to date with regulations regarding trading activity in client accounts and applies them accordingly.

• May participate in the formation of policies related to compliance.

• Trains new associates

• Acts as a mentor to new associates by sharing resources and encouraging their growth

• Takes on complex and extensive projects outside of regular duties for Senior Management

• Assists other reviewers/cross trained in other departmental reviews

• Develops new procedures and best practices for workflows

• Conducts testing of new alerts and procedures

• Acts as the point person for other departments with regards to Supervisory Reviews

• Builds relationships with advisors in the field fostering a positive relationship

• Makes calls to advisors to resolve issues/educate on procedures

• Reviews escalations from other areas and determines and addresses as applicable

• Performs other duties and responsibilities as assigned.

• Balances conflicting resource and priority demand

Knowledge, Skills, and Abilities

Knowledge of

+ Strong knowledge of investments, trading, annuities, insurance products, and related regulations (SEC, FINRA, FDIC, state and federal).

+ Understanding of suitability and compliance issues related to branch manager/FA activity and retail operations.

+ Familiarity with Raymond James systems, company structure, policies, and strategies.

+ Knowledge of general office practices and securities industry operations.

+ Ability to interpret and apply regulatory rules and compliance policies effectively.

+ Strong knowledge of investments, trading, annuities, insurance products, and related regulations (SEC, FINRA, FDIC, state and federal).

Skill in

+ Operate standard office equipment and software to produce professional communications, reports, spreadsheets, and databases.

+ Apply critical thinking and decision-making skills, including interpreting regulatory rules and compliance policies.

+ Maintain strong attention to detail to minimize regulatory risk without disrupting workflow.

+ Demonstrate professional phone etiquette and effective communication.

+ Investigate and identify sales practice issues and irregularities.

+ Make rule-based and analytical decisions confidently.

Ability to

+ Manage, coach, and mentor others; establish and communicate clear directions and priorities.

+ Independently manage multiple projects and tasks with minimal supervision; organize, prioritize, and track assignments efficiently.

+ Communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers and Financial Advisors.

+ Provide a high level of customer service, including handling escalations and stressful situations calmly and professionally.

+ Work effectively with Financial Advisors as their sales supervisor, enforcing company policies and procedures as needed.

+ Facilitate meetings to ensure all viewpoints, ideas, and concerns are addressed.

+ Manage, coach, and mentor others; establish and communicate clear directions and priorities.

Education/Previous Experience

• Bachelor’s degree (B.A) in related discipline and a minimum of eight (8) years’ experience in retail securities sales, sales management, operations, or compliance.

• ~OR ~

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

Licenses/Certifications

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

• SIE required provided that an exemption or grandfathering cannot be applied.

• Required to have a Series 7, 24 and 63

• Series 66 can be used instead of the 63

• Series 9 and 10 can be used instead of the 24

+ State Annuity and Life License for resident state.

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