Senior Manager, Supervisory Solutions

Raymond James

. Lead, coach, mentor, and develop a team of Home Office Branch Managers .

Posted 9/15/2026full-timeRemote • Colorado • United StatesSenior💰 $100,000 - $125,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates strong leadership and mentoring capabilities while ensuring compliance with regulatory obligations in the financial services sector. Possesses extensive knowledge of supervisory practices, investment products, and the securities industry.

Highest-signal resume keywords

Series 7 LicenseSeries 9/10 LicenseSeries 66 LicenseSupervisory PracticesFinancial Services Experience

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory ComplianceSupervisory OversightRisk ManagementAnalytical SkillsProblem-Solving SkillsInvestment Products KnowledgeFinancial Markets Knowledge

Soft Skills

LeadershipCoachingCommunication SkillsOrganizational SkillsAttention to Detail

Certifications & Qualifications

Series 7 LicenseSeries 9/10 LicenseSeries 66 LicenseSeries 53 LicenseLife Insurance LicenseHealth Insurance LicenseVariable Annuity Insurance License

Industry Keywords

Financial ServicesSecurities IndustrySupervisory SolutionsAdvisory ActivitiesCompliance

About the role

Key responsibilities & impact

Lead, coach, mentor, and develop a team of Home Office Branch Managers
Oversee supervisory programs, procedures, resources, and controls
Monitor supervisory activity, trends, alerts, and risk indicators
Partner with Compliance, Division Supervision, Division Management, and other stakeholders
Lead initiatives that strengthen supervisory effectiveness and efficiency within the Supervisory Solutions program
Represent Supervisory Solutions with advisors and leaders
Provide supervisory oversight and support to branches participating in the Supervisory Solutions program
Ensure advisors receive appropriate guidance and oversight
Identify and address supervisory risks early
Ensure regulatory obligations are met consistently and professionally

Requirements

What you’ll need

Bachelor’s degree (B.A.) from a four-year college or university, and a minimum of eight (8) years’ experience in a financial services firm / supervision
Equivalent combination of experience, education, and/or training as approved by Human Resources
Series 7 license required
Series 9/10 or 24 license required
Series 66 or 63/65 license required
Strong understanding of securities industry rules, regulations, and supervisory practices
Working knowledge of investment products, financial markets, and advisory activities
Excellent analytical, critical thinking, and problem-solving skills
Strong written and verbal communication abilities
Ability to manage multiple priorities in a fast-paced environment
Proven ability to influence and build credibility across a broad range of stakeholders
Strong organizational skills and attention to detail
Ability to coach, mentor, and lead others
3 to 6 years of managerial experience preferred, including experience leading direct reports or cross-functional reporting resources
Series 53, Life, Health, and Variable Annuity Insurance Licenses preferred

Benefits

Comp & perks

Medical, dental, and vision benefits
Life insurance
Critical illness insurance
Accident insurance
Disability benefits
Retirement savings
Paid time off, including vacation, holidays, and sick leave
Parental leave
Additional compensation, including cash or equity, discretionary bonuses, or commissions may be included
Remote workstyle
Less than 25% travel