VP, Division Supervision Officer

Job Description Summary

The Vice President, Division Supervision Officer provides enterprise leadership for supervisory and risk functions across an assigned territory. Partnering closely with the Division Leadership team and other areas of Supervision, this role sets strategy, establishes consistent supervisory standards, and ensures an effective control environment in accordance with business ethics and all applicable Federal, State, and Local laws, as well as Raymond James policies and regulatory requirements. The Vice President leads and develops a team of supervision professionals, serves as a senior escalation point for complex supervisory matters, and proactively advises Divisional and Branch leadership on emerging risks, controls, and regulatory change.

Job Description

Essential Duties and Responsibilities

• Provides leadership for Field/Division Supervision across the assigned territory, setting supervisory priorities and risk mitigation strategy aligned to Divisional objectives, firm policy, and regulatory expectations.

• Leads and develops a team of supervision professionals; drives talent acquisition, onboarding, coaching, performance management, succession planning, and employee engagement; and ensures appropriate coverage and capacity planning.

• Establishes and sustains a strong culture of supervision, accountability, and ethical conduct; models executive presence and reinforces expectations with leaders at all levels.

• Serves as the senior escalation point within the territory for complex supervisory matters (including heightened regulatory risk, significant client impact, or sensitive business considerations), ensuring timely resolution, appropriate documentation, and consistent outcomes.

• Partners with Branch management teams to provide oversight of supervisory functions and to influence risk-informed decisions; advises Divisional and Branch leadership on emerging risks, control effectiveness, and supervisory best practices.

• Owns governance for key supervisory processes requiring senior management review/approval; recommends and drives enhancements to controls, workflows, escalation protocols, and supervisory documentation standards.

• Defines, monitors, and reports key supervision and risk metrics; identifies trends and root causes; and drives remediation plans with clear accountability, timelines, and sustainable corrective actions.

• Leads audit/exam readiness across the territory, including coordination with branches and relevant partners; oversees remediation of Branch Exam issues and confirms controls are implemented and operating effectively.

• Partners with Legal and Compliance on customer complaints, litigation, and other sensitive matters; ensures appropriate escalation, risk assessment, and senior leader communication.

• Sponsors and leads change-management communications and education for advisors and leaders, ensuring clear understanding and adoption of policy, procedure, and regulatory changes.

• Ensures consistent disciplinary and corrective action practices in partnership with the Branch Management teams, and Divisional Leadership; supports fair, well-documented, and timely outcomes.

• Oversees the review and disposition of third-party vendor requests and other higher-risk supervisory initiatives to ensure adherence to policies, procedures, and risk standards.

• Supports supervision of producing Branch Managers and other heightened-risk roles as assigned; establishes monitoring expectations and ensures appropriate escalation and documentation.

• Leads cross-functional initiatives and special projects to improve the supervisory framework, enhance efficiency, and strengthen the overall control environment.

Knowledge, Skills, and Abilities

Knowledge of

• Enterprise supervisory framework, governance, and control design, including risk identification, risk appetite alignment, escalation standards, and documentation requirements across multiple branches.

• Regulatory environment impacting broker-dealer and investment advisory supervision, including examination readiness, surveillance expectations, and enterprise response to evolving rules, guidance, and enforcement trends.

• Leadership practices for building and sustaining high-performing supervision teams, including organizational design, capacity planning, succession planning, and leader development in a regulated environment.

• Stakeholder management and communication strategies to influence senior leaders, navigate sensitive issues, and drive alignment on supervisory decisions, risk trade-offs, and remediation priorities.

• Conduct risk, client impact, and reputational risk considerations in supervisory decision-making, including consistent application of standards, fair outcomes, and principled escalation.

• Complex case management and investigative practices, including issue triage, evidence-based analysis, consistent dispositioning, and partnership with Compliance, Legal, HR, and business leadership on sensitive matters.

• Strategic decision-making with minimal direction, including setting priorities, balancing competing demands, allocating resources, and holding leaders accountable for timely, well-documented outcomes.

• Supervisory technology, surveillance tools, and data governance concepts used to monitor risk, document supervision, and produce executive-level reporting while maintaining confidentiality and appropriate controls.

Skill in

• Executive stakeholder management and influence, including partnering with senior leaders, facilitating difficult conversations, and driving alignment on risk decisions, priorities, and remediation actions.

• Interacting with clients, financial advisors, support staff and home office personnel in all types of matters including those that may be sensitive which includes

Ability to

• Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.

• Communicate decisions of the firm in a clear and concise manner.

• Execute consistent Human resource management principles and practices.

• Project a professional and pleasant demeanor to work with advisors and clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.

• Provide a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.

• Effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

• Employ good analytical skills to be able to research and resolve problems.

• Work independently, under minimal supervision.

• Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Education/Previous Experience

• Bachelor’s degree from college or university in related field and a minimum of 12 years of Administrative Manager or Supervision experience in the financial services industry.

• OR ~

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

Licenses/Certifications

• Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe.

• SIE required provided that an exemption or grandfathering cannot be applied

• Required to have Series 7, 9, 10, or 24, and 66

• Series 63 and 65 can be used as an equivalent to the 66

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

Education

Work Experience

Certifications

Travel

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.