**Essential Duties and Responsibilities** • Performs human resources management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, as well as participating in interviewing and selecting staff. • Plans, assigns, monitors, reviews, evaluates and leads the work of others. • Coaches and mentors subordinates, identifies training needs, and recommends appropriate development programs. • Interfaces with regional management associates to inform them of any supervisory concerns that may arise with branch office managers/FAs and works together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts. • Monitors and keeps up to date with regulations regarding trading activity in client accounts and applies them accordingly. • May participate in the formation of policies related to compliance. • Trains new associates • Acts as a mentor to new associates by sharing resources and encouraging their growth • Takes on complex and extensive projects outside of regular duties for Senior Management • Assists other reviewers/cross trained in other departmental reviews • Develops new procedures and best practices for workflows • Conducts testing of new alerts and procedures • Acts as the point person for other departments with regards to Supervisory Reviews • Builds relationships with advisors in the field fostering a positive relationship • Makes calls to advisors to resolve issues/educate on procedures • Reviews escalations from other areas and determines and addresses as applicable • Performs other duties and responsibilities as assigned. • Balances conflicting resource and priority demand **Knowledge, Skills, and Abilities** **Knowledge of** + Strong knowledge of investments, trading, annuities, insurance products, and related regulations (SEC, FINRA, FDIC, state and federal). + Understanding of suitability and compliance issues related to branch manager/FA activity and retail operations. + Familiarity with Raymond James systems, company structure, policies, and strategies. + Knowledge of general office practices and securities industry operations. + Ability to interpret and apply regulatory rules and compliance policies effectively. + Strong knowledge of investments, trading, annuities, insurance products, and related regulations (SEC, FINRA, FDIC, state and federal). **Skill in** + Operate standard office equipment and software to produce professional communications, reports, spreadsheets, and databases. + Apply critical thinking and decision-making skills, including interpreting regulatory rules and compliance policies. + Maintain strong attention to detail to minimize regulatory risk without disrupting workflow. + Demonstrate professional phone etiquette and effective communication. + Investigate and identify sales practice issues and irregularities. + Make rule-based and analytical decisions confidently. **Ability to** + Manage, coach, and mentor others; establish and communicate clear directions and priorities. + Independently manage multiple projects and tasks with minimal supervision; organize, prioritize, and track assignments efficiently. + Communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers and Financial Advisors. + Provide a high level of customer service, including handling escalations and stressful situations calmly and professionally. + Work effectively with Financial Advisors as their sales supervisor, enforcing company policies and procedures as needed. + Facilitate meetings to ensure all viewpoints, ideas, and concerns are addressed. + Manage, coach, and mentor others; establish and communicate clear directions and priorities. **Education/Previous Experience** • Bachelor’s degree (B.A) in related discipline and a minimum of eight (8) years’ experience in retail securities sales, sales management, operations, or compliance. • ~OR ~ • Any equivalent combination of experience, education, and/or training 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 a Series 7, 24 and 63 • Series 66 can be used instead of the 63 • Series 9 and 10 can be used instead of the 24 + State Annuity and Life License for resident state. • Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.