• Vice President, Advisory Supervision

    Raymond James Financial, Inc. (New York, NY)


    Essential Duties and Responsibilities

    + Lead strategic initiatives and partner with cross-functional teams to enhance supervisory practices.

    + Demonstrate proactive, vocal, and visible leadership by setting clear expectations, driving accountability, and fostering a culture of transparency and engagement across teams and stakeholders.

    + Collaborate closely with Risk, Legal, Compliance, and PCG to ensure supervisory practices align with regulatory expectations, mitigate firm risk, and support advisor and client outcomes.

    + Develop and implement a robust supervisory framework for investment advisory programs.

    + Monitor regulatory changes and ensure firm-wide compliance across advisory activities.

    + Foster a continuous improvement mindset by proactively identifying and executing process enhancements that optimize supervisory effectiveness, increase efficiency, and support scalable growth.

    + Manage, mentor, and develop a team of supervisory professionals.

    + Provide training, guidance, and career development support to team members.

    + Deliver presentations and reports to senior leadership and stakeholders.

    + Lead or contribute to additional projects based on expertise, including program design and implementation.

     

    Knowledge, Skills, and Abilities

    Knowledge of

    + Advanced investment concepts and securities industry procedures.

    + Investment Company Act of 1940 and SEC regulatory environment.

    + Financial advisor business models and supervisory needs.

    Skill in

    + Strategic and analytical thinking to align regulatory, firm, advisor, and client needs.

    + Establishing KPIs and linking them to business outcomes.

    + Building and maintaining collaborative relationships across departments.

    + Influencing decisions and communicating effectively at all levels.

    + Coaching and leadership to support team growth and performance.

    + Working knowledge of how technology can support the investment advisory supervision function.

    Ability to

    • Develop and execute strategic plans aligned with company goals.

    + Navigate organizational structures and build consensus.

    + Lead change initiatives and foster innovation.

    + Communicate clearly across diverse audiences.

    + Work independently and collaboratively in a dynamic environment.

     

    Educational/Previous Experience Requirements

    Education/Previous Experience

    + Bachelor’s degree or related experience

    + 12+ years of Supervision experience, preferably in a retail financial services firm

    + ~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.

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

    + Series 7, 24, 65 or 66 Required