Manager, Supervision - Trade Review

Raymond James Financial, Inc.; Saint Petersburg (FL); On-site; USD 90,000 - 150,000; Full time

Job summary

Raymond James Financial, Inc. is seeking a senior supervisor to lead a Trade Review team in Saint Petersburg, FL. You will coach, mentor, and develop staff, ensure timely and compliant decisions on trades and accounts, and collaborate with Compliance, Legal, and Financial Advisors to resolve supervisory concerns.

You will drive risk-based decisions, implement training, and strengthen supervisory controls. A track record of process improvement and cross-functional partnership is essential.

Qualifications

• Bachelor’s degree in a related discipline and a minimum of six years in supervision or the financial services industry.
• Equivalent experience, education, and/or training as approved by Human Resources.

Responsibilities

• 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 for timely, accurate, risk-based decisions.
• Partner with Financial Advisors, branch managers, Compliance, Legal, and others to resolve supervisory concerns.
• Establish team priorities, monitor workloads, and ensure service, quality, and risk management expectations are met.
• Provide guidance on securities regulations, supervisory responsibilities, and firm policies.
• Escalate significant regulatory, supervisory, operational, or reputational risks as appropriate.
• Support training programs that enhance supervisory effectiveness and regulatory awareness.
• Contribute to design and enhancement of supervisory controls, policies, and procedures.
• Identify trends and emerging risks; propose solutions to strengthen supervisory environment.
• Lead or support strategic initiatives to improve efficiency and risk mitigation.
• Act as a subject matter resource for associates and business partners.

Skills

Leadership

Regulatory judgment

Risk management

Communication

Coaching

Cross-functional collaboration

Prioritization

Training & development

Problem solving

Education

Bachelor’s degree

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

~or~

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.