Manager, Supervision- Communications

Job Description

Job Summary:

As a Manager of Hard-Copy Correspondence, this role oversees the daily operations of a team responsible for reviewing hard-copy correspondence, ensuring accuracy, compliance, and timely responses. This includes providing leadership, training, and support to enhance team performance and maintain high standards of quality and efficiency. This role will also help to support and manage enhancements/requests for the supervisory tool used to facilitate reviews of communications.

Essential Duties and Responsibilities:

- Leads, mentors and supports Communications Supervision associates, providing subject matter expertise to facilitate Correspondence reviews, including Consolidated Account Statements. Directly manage and develop staff, identifying training opportunities and recommend appropriate development programs.

- 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.

- Makes reasonable risk-based assessments and decisions autonomously and in a timely manner.

- Consults independently with Advisors and Associates to recommends actions that ensure compliance with existing rules and regulations as well as prevent potential liability.

- 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.

- Ensures Supervision Management and others are aware and involved in managing supervisory and risk management issues through regular meetings, reporting/metrics, and escalations.

- Monitors and keeps up to date with regulations regarding the Communications with the public/Correspondence

- 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 reviewers/cross trains in other departmental reviews

- Develops new procedures and best practices for workflows

- Facilitates strategic enhancements within supervisory technology solution

- Ongoing testing of functional enhancements within supervisory technology solution

- Ongoing review of access requests for supervisory technology solution

- Serves as the point person for other departments with regards to Correspondence, including Consolidated Account Statements and departments supervisory technology solution

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

- Reviews escalations from other areas and determines and addresses as applicable or escalates to the DSO; Assists DSO in making calls to advisors to resolve issues/educate on procedures

- Attends conferences and regional meetings as assigned

- Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

A proven leader who can establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.

Knowledge of

- Experience and/or knowledge of the SEC Marketing rule, Investment Advisors Act of 1940, and FINRA 2210 rules and regulations.

- Company's working structure, policies, mission, and strategies.

- General office practices, procedures, and methods.

- Experience in branch practices and operations

- 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.

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.

- Ability to multi-task and organize around various meetings, assisting key stakeholders in the home office, communicating with advisors, and managing the demands of a team of individuals.

- Managing a team of resources across various areas of focus

- Interviewing and selecting staff, coaching and mentoring, and identifying and delivering training needs.

- Operating standard office equipment and using required software applications to reports, electronic communication, spreadsheets, and databases (E.g., Microsoft Office).

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 effectively with Financial Advisors as their sales supervisor and enforce company policies and procedures as necessary.

- Attention to detail while maintaining a big picture orientation, balancing conflicting resource and priority demands.

- Foster a cooperative work environment and partner with other functional areas to accomplish objectives.

- Keep all appropriate parties up-to-date on decisions, changes, and other relevant information.

- Articulate reasons behind decisions.

- Provide a high level of customer service.

- Quickly and with independence, become acquainted with desk procedures, historical decisions and ongoing projects and efforts within Communications.

Licenses/Certifications

FINRA Series 7, 24, 66 (or equivalent). Ability to obtain additional licenses within designated timeframe.

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

Salary Range: $100,000 - $110,000

Education

Work Experience

Certifications

Travel

Workstyle

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

At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.