Raymond James · 1 day ago
Senior Manager, Fixed Income Supervision (Saint Petersburg, FL)
Saint Petersburg, Florida - United States
Full-time
Onsite
Senior Level
6+ years expRaymond James is a financial services firm seeking a Senior Manager in Fixed Income Supervision. The role involves conducting internal reviews for compliance, developing policies, and overseeing supervision processes for Fixed Income Sales, while collaborating with various departments to ensure adherence to regulations.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
Responsibilities
Serves as a member of the Supervision team in assisting to ensure proper goals and initiatives to achieve strategic supervision program for Fixed Income Sales
Collects and reviews internal and external market data to ensure compliance with Raymond James trading policies, FINRA requirements and SEC regulations
Performs surveillance reviews to identify trading, reporting and related exceptions, and uses industry experience to disposition or escalate accordingly
Identifies problems and recommends sensible solutions and remediation. Conducts follow-ups on corrections regarding areas of Supervision or any potential non-compliance in business areas
Monitors and keeps up to date with regulations regarding client trades and applies them accordingly
Oversees Supervision exception reporting processes and determines any corrective actions
Helps to ensure department has complete and accurate Written Supervisory Procedures per FINRA Rule 3110
Establishes objectives and develops processes and procedures to ensure adherence to all compliance requirements
Prepares supervisory reports and ensures they align with Firm policies, practices, and procedures
Develop strong relationships with Control partners across the organization including the FI Business Unit Risk Manager, Compliance, Legal, Operations and Risk Management departments
Performs other duties and responsibilities as assigned
Qualification
Required
Bachelor's: Accounting (Required)
Bachelor's: Business Administration (Required)
General Experience - 6 to 10 years
Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)
Knowledge of Securities trading, Rules and regulations of the Securities Exchange Commission (SEC), and Financial Industry Regulatory Authority (FINRA)
Detailed knowledge of securities supervisory concepts, FINRA Rule 3110 and how it relates to Firm policy and practice
Proficient in, and understands the regulatory responsibilities of FI Institutional Sales
Company's working structure, policies, mission, and strategies
High order reasoning and decision-making, involving the interpretation of regulatory rules and compliance policies
Understanding regulatory rules and regulations and applying to practical and active trading, reporting and processes
Managing multiple, different relationships effectively
Analytical skill to interpret trends and changes in trading activity
Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently
Independently manage multiple projects and tasks
Read, interpret, test and analyze data to understand transaction information is complete and within regulatory guidelines
Ensure effective coordination between assigned area and other functional areas
Ability to develop compelling analytical reporting and presentations
Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels
Company
Raymond James
Raymond James provides a range of investment banking services focused on the telecommunications and communications sectors.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$1.5B2025-09-09Post Ipo Debt· $1.5B
1983-07-01IPO
Leadership Team
Paul Shoukry
Chief Financial Officer
James Sickling
COO - Fixed Income
Recent News
TradingView
2025-12-16
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