VP, Division Supervision Officer

Benefits

Additional Information

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 decisi

Your Match

How well this role fits your profile.

Company Intel

What employees say

Worked at raymondjames? Share your experience