Manager, Supervision - Trade Review

Job Description Summary

The Manager, Supervision - Trade Review helps protect Raymond James clients, Financial Advisors, and the firm by leading a team responsible for reviewing trade and account activity, identifying risk, and ensuring the consistent application of supervisory standards.

This role combines people leadership with supervisory expertise. You will coach and develop associates, guide decision-making on complex matters, and partner with branch leadership, Compliance, Legal, and other internal stakeholders to resolve issues that often require thoughtful judgment rather than straightforward answers.

Success in this role requires balancing regulatory obligations, business objectives, and client impact while fostering a culture of accountability, collaboration, and continuous improvement.

Job Description

What You Will Do

• Lead, coach, and develop a team of Trade Review associates through performance management, mentoring, training, and career development.

• Review supervisory matters involving trade and account activity, helping ensure timely, accurate, and risk-based decision making.

• Partner with Financial Advisors, branch managers, Compliance, Legal, and other business partners to evaluate, investigate, and resolve supervisory concerns.

• Establish team priorities, monitor workloads, and ensure service, quality, and risk management expectations are met.

• Provide guidance regarding securities regulations, supervisory responsibilities, and firm policies and procedures.

• Escalate significant regulatory, supervisory, operational, or reputational risks as appropriate.

• Support the development and delivery of training programs that enhance supervisory effectiveness and regulatory awareness.

• Contribute to the design, implementation, and enhancement of supervisory controls, policies, procedures, and best practices.

• Identify trends, recurring issues, and emerging risks and recommend solutions to strengthen the supervisory environment.

• Lead or support strategic initiatives and projects that improve efficiency, consistency, and risk mitigation.

• Act as a subject matter resource for associates and business partners on supervisory matters.

• Promote a culture of compliance, accountability, collaboration, and continuous improvement.

• Perform other responsibilities as assigned.

What Will Help You Succeed

• Strong leadership skills with a commitment to coaching, development, and accountability.

• Sound judgment and the ability to apply regulatory requirements to complex situations.

• The ability to identify risk while maintaining practical consideration for business needs and the client experience.

• Excellent written and verbal communication skills across all levels of the organization.

• Strong analytical and problem-solving capabilities.

• The ability to influence decisions and build productive relationships across business units.

• Effective prioritization and organizational skills in a dynamic environment.

• A commitment to continuous improvement and operational excellence.

How You Will Work

Lead with accountability: Set clear expectations, provide coaching, and help associates develop the skills and confidence needed to succeed.

Apply sound judgment: Evaluate complex supervisory matters, balance competing considerations, and make thoughtful, risk-based decisions.

Develop talent: Create opportunities for growth, deliver meaningful feedback, and build a strong and engaged team.

Partner across the firm: Work closely with branch leadership, Compliance, Legal, Operations, and other business partners to resolve concerns and improve outcomes.

Strengthen controls: Identify opportunities to enhance supervisory processes, improve consistency, and reduce risk.

Communicate with confidence: Deliver clear guidance, explain decisions effectively, and foster productive dialogue across stakeholder groups.

See the bigger picture: Look beyond individual transactions and events to identify trends, emerging risks, and opportunities for improvement.

Drive continuous improvement: Challenge existing processes, encourage innovation, and help evolve the firm's supervisory practices.

Educational/Previous Experience Requirements:

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

Licenses/Certifications:

• Series 7, 9/10 or 24/53/4, and 63 or 66 for assigned functional area required.

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

Are You Ready to Make an Impact?

If you are a collaborative leader who enjoys developing people, solving complex problems, and strengthening supervisory practices, this role offers the opportunity to make a lasting impact on clients, advisors, associates, and the firm's overall risk management framework.

Education

Bachelor’s: Accounting, Bachelor’s: Business Administration

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

 

 

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. 

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