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SVP, Regional Director

2 months ago

Town of Clifton Park, United States Raymond James Full time

Job Summary:

This position can be in any city/state within the Division where there is a branch.

Under general direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience, to provide strategic direction and overall management of a region for a major broker/dealer. Works with senior management to determine strategic direction and develop tactical plans. Completes complex assignments with substantial latitude for autonomous actions and decisions. Provides comprehensive solutions to complex problems or needs. Results are evaluated based on the achievement of established goals and objectives. Extensive contact with various departments of Raymond James Financial is required to perform the functions of this position.

Essential Duties and Responsibilities:

  1. Develops short and long term goals and initiatives to achieve strategic vision for a defined region, in conjunction with senior management.
  2. Develops and ensures implementation of tactics to achieve strategic objectives.
  3. Establishes operating policy for groups managed.
  4. Develops regional budget and manages variances.
  5. Directs the development of new business within a geographic region.
  6. Manages the ongoing recruitment process within a geographic region.
  7. Acts as a business development consultant; sources, establishes and develops new Financial Advisor affiliations with the region.
  8. May provide support and direction to the selection, training, and development of Financial Advisor Trainees.
  9. Provides supervision and regulatory oversight of region.
  10. Ensures the semi-annual performance review process is completed on all associates.
  11. Provides managerial direction to branch associates through the development of goals, monitoring of results, and coaching of associates.
  12. Provides leadership for various work teams within the region.
  13. Plans, assigns, monitors and manages the work of others.
  14. Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

  1. Company’s working structure, policies, mission, strategies, and compliance guidelines.
  2. Economic and accounting principles and practices, the financial markets, banking, and analysis and reporting of financial data.

Skill in:

  1. Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
  2. Preparing and delivering clear, effective, and professional presentations.

Ability to:

  1. Partner with other functional areas to accomplish objectives.
  2. Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
  3. Incorporate needs, wants and goals from different business unit perspectives into strategies of the business unit.
  4. Attend to detail while maintaining a big picture orientation.
  5. Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
  6. Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.
  7. Articulate reasons behind decisions.
  8. Keep all appropriate parties up-to-date on decisions, changes, and other relevant information.
  9. Establish and maintain effective working relationships with others.
  10. Identify problems, gather facts, and develop solutions.
  11. Provide a high level of customer service.

Educational/Previous Experience Requirements:

  1. Bachelor’s degree (B.A.) from four-year college or university and a minimum of five (5) years of managerial experience in a retail financial services firm.
  2. Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications:

  1. SIE required provided that an exemption or grandfathering cannot be applied.
  2. Series 7 and 9 & 10 (or 8) required.
  3. Series 63 & 65, or 66 as required by state.
  4. Series 31 may be required.
  5. Series 3 may be required.
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