Director, Supervision - Trade Review

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Director, Supervision - Trade Review

senior · Risk & Compliance

Job Description Summary

Job Description

What You Will Do

• Lead and develop Trade Review managers through coaching, performance management, succession planning, and leadership development.

• Provide strategic direction and oversight for supervisory review programs involving trade and account activity.

• Ensure consistent application of regulatory requirements, firm policies, and supervisory standards across teams.

• Oversee the identification, escalation, investigation, and resolution of significant supervisory, regulatory, operational, and reputational risks.

• Partner with senior leaders across Supervision, Compliance, Legal, Risk Management, Operations, and business divisions to address complex issues and emerging risks.

• Establish organizational priorities, objectives, and performance expectations while ensuring alignment with broader business goals.

• Evaluate supervisory trends, control effectiveness, and risk indicators to identify opportunities to strengthen oversight.

• Serve as a senior subject matter expert on securities regulations, supervisory obligations, and risk management practices.

• Lead strategic initiatives focused on supervisory effectiveness, operational efficiency, and control enhancement.

• Support the development and enhancement of supervisory policies, procedures, governance structures, and risk management practices.

• Prepare and present risk assessments, recommendations, and management reporting to senior leadership.

• Provide leadership support during regulatory examinations, audits, and internal reviews.

• Champion organizational development and training initiatives that strengthen supervisory capabilities.

• Foster a culture of accountability, collaboration, innovation, and prudent risk management.

• Perform other responsibilities as assigned.

What Will Help You Succeed

• Strategic leadership combined with strong regulatory and supervisory expertise.

• The ability to anticipate risks, assess impacts, and implement proactive solutions.

• Exceptional judgment when addressing complex regulatory, operational, and reputational matters.

• Strong executive presence and the ability to influence senior leaders and stakeholders.

• Experience building high-performing teams and developing future leaders.

• Effective communication skills, including the ability to present complex issues clearly to executive audiences.

• Strong analytical and decision-making capabilities.

• A commitment to continuous improvement, control enhancement, and organizational excellence.

How You Will Work

Lead leaders: Develop managers, strengthen leadership capabilities, and build sustainable succession pipelines.

Shape strategy: Align supervisory priorities with organizational objectives while maintaining a strong risk management focus.

Strengthen the framework: Continuously improve supervisory programs, governance structures, and control environments.

Guide critical decisions: Navigate complex supervisory issues and provide direction on matters with significant regulatory or business implications.

Partner across the enterprise: Build strong relationships with executives, business leaders, and control partners to achieve shared outcomes.

Elevate performance: Establish high standards, measure results, and create accountability throughout the organization.

Anticipate emerging risk: Monitor trends, identify developing concerns, and position the organization to respond proactively.

Drive meaningful change: Lead strategic initiatives that improve efficiency, effectiveness, consistency, and risk management capability.

Educational/Previous Experience Requirements
•    Bachelor’s degree (B.A/B.S.) in a related discipline and minimum (10) years of experience in the financial services industry.
•    Minimum five (5) years management experience within the financial services industry.
~or~
•    Any equivalent combination of experience, education, and/or training approved by Human Resources. 

Licenses/Certifications
•    Series 7, 9/10 or 24/53/4, and 63 or 66 for assigned functional area required.

Are You Ready to Make an Impact?

If you are a strategic leader who enjoys developing people, solving complex supervisory challenges, and shaping the future of risk oversight, this role offers the opportunity to influence the firm's supervisory framework and make a meaningful impact across the organization.

Education

Work Experience

Certifications

Travel

Workstyle

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. 

We expect our associates at all levels to:
•  Grow professionally and inspire others to do the same
•  Work with and through others to achieve desired outcomes
•  Make prompt, pragmatic choices and act with the client in mind
•  Take ownership and hold themselves and others accountable for delivering results that matter
•  Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates.  When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.