Manager, Supervision - Trade Review
Core
Lead a team of Trade Review associates to review trade and account activity, identify risk, and ensure consistent application of supervisory standards for Raymond James clients and Financial Advisors.
Role type
Manager, Supervision - Trade Review
Builds
Risk mitigation framework and supervisory controls for trade and account activity
Domain
Financial Services / Securities Regulation
Deliverable
client delivery
Required skills
People leadership, coaching and development, risk-based decision making, regulatory judgment, complex problem solving, stakeholder partnership, process improvement
Preferred skills
Training program design, strategic initiative leadership, trend identification
Technologies
N/A
Responsibilities
Lead, coach, and develop a team of Trade Review associates; Review supervisory matters involving trade and account activity; Partner with Financial Advisors, branch managers, Compliance, and Legal to resolve concerns; Establish team priorities and monitor workloads; Provide guidance on securities regulations and firm policies; Escalate significant risks; Contribute to design of supervisory controls and policies; Identify trends and emerging risks; Lead strategic initiatives to improve efficiency and risk mitigation.
Seniority
Manager, hands-on leadership