Division Supervision Manager

Job description

Job Description Summary The Field Supervision Manager/Division Supervision Manager (FSM/DSM) oversees a broad range of supervisory and risk functions. Working closely with the Division Supervision Officer (DSO), the FSM/DSM ensures a controlled environment by adhering to business ethics, practices, and all relevant Federal, State, and Local laws, as well as Raymond James RJA or RJFS policies and regulations. They are responsible for keeping the DSO and Branch management teams informed of significant issues. Additionally, they partner with advisors and management to address various business needs and risks. Job Description: Essential Duties and Responsibilities: Partners with Complex/Branch management teams within the assigned territory, overseeing supervisory functions, risk mitigation, and policy enforcement with Advisors and Branch Management. Participates in Complex/Branch/Division meetings to discuss strategies and communicate updates/changes to policies and procedures. Ensures Complex/Branch Managers are informed and involved in supervisory and risk management issues through regular meetings, reporting, metrics, and escalations. Assists in creating and presenting quarterly ris...