Senior Manager, Supervision Conflicts of Interest Outside Business Activities Position Available In Pinellas, Florida

• Job Description
• Job Summary
• The Senior Manager of Conflicts of Interest (“COI”) Supervision will manage a supervisory team responsible for oversight of the firm’s Outside Business Activities.

The role holder will ensure that associates and advisors adhere to applicable regulations as well as Raymond James policies and procedures. The Senior Manager – COI Supervision reports directly to the Director – COI Supervision. The leader must have strong problem-solving and decision-making skills to escalate topics, be highly collaborative, and be focused on people development. Also, the leader will be responsible for maintaining extensive contact with internal customers to identify research, analyze, and resolve complex supervisory issues.

• Essential Duties and Responsibilities
• + Serves as a subject matter expert in supervision activities specifically Outside Business Activities and Private Securities Transactions.

+ Coaches and mentors associates, identifies training needs and recommends development programs. Directly manage and develop staff, identifying training opportunities. + Plans, assigns, monitors, reviews, evaluates and leads the work of associates. + Work with business management and branch managers to develop, communicate and implement strategies, procedures and technology systems. + Builds trust and rapport through all interactions to deliver the right outcomes for the business; Consults independently with Advisors and Associates to recommends actions that ensure compliance with existing rules and regulations as well as prevent potential liability. + Serves as a point of approval for policy or process escalations that require supervisory management sign off. + Present periodically to stakeholders on “COI” supervisory initiatives. + Develop, implement, sustain, monitor and when necessary, revise supervision procedures and workflows that reflect “best practices” and ensures the firm is adhering to all legal and regulatory requirements. + Communicate and train the field regarding regulatory rules and firm policy changes. + Key point of contact to respond to applicable regulatory inquiries, compliance testing, and internal audit. + Uses metrics data and quality assurance feedback to identify key areas of risk and inefficiency to identify training opportunities and other improvements. Identifies trends and implements corrective action as necessary. + Maintains extensive contact with internal partners to identify, research, analyze and resolve complex issues with significant impact. + Maintains and executes enhancements to the Conflicts of Interest systems for the firm. + Ensure effective coordination and communication occurs between supervision, PCG management, compliance, legal and other functional areas. + Perform other duties and responsibilities as assigned.

• Knowledge, Skills, and Abilities
• Knowledge of
• + Strong foundation in supervisory concepts, practices and procedures used in the securities industry, financial markets and financial products.

+ Concepts, practices and procedures of the securities industry particularly as it relates to Conflicts of Interest. + Human resource management principles and practices. + Company’s working structure, policies, mission, and strategies. + General office practices, procedures, and methods. + Investment concepts, practices and procedures used in the securities industry.

• 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, branch support staff, home office personnel, and clients in all types of matters including those that may be sensitive. + Managing a team of approximately 8 resources across COI verticals. + Project management, particularly in the delivery of technology and other change management initiatives. + Strong analytical skills, including demonstrated experience identifying and quantifying complex problems and providing effective resolutions. + Developing policies, procedures, objectives and short-and long-range plans and implementing projects and programs to accomplish goals.

• Ability to
• + Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.

+ Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels. + 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. + Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. Keep all appropriate parties up to date on decisions, changes, and other relevant information. + Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels. + Handles stressful situations and provides a high level of customer service in a calm and professional manner. Articulate reasons behind decisions. + Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed. + Interpret and apply investment advisor regulations and identify and recommend changes in policies and procedures, as appropriate. + Maintain confidentiality. + Manage, coach and mentor others.

• Education/Previous Experience
• + Bachelor’s degree (B.A/B.S.) in a related discipline and minimum of eight (8) years of experience in Supervision and/or the financial services industry. + ~OR ~ + Any equivalent combination of experience, education, and/or training.
• 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.
• Education
• Work Experience
• Certifications
• Travel
• Less than 25%
• Workstyle
• Hybrid 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. #LI-AF1