Manager, Supervision – Money Movement

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Manager, Supervision – Money Movement

manager · Risk & Compliance

Job Description Summary

Job Description

What You Will Do

• Lead, coach, mentor, and develop Money Movement associates; identify training needs, provide actionable feedback, evaluate performance, and support individual and team development.

• Plan, assign, monitor, review, and evaluate the work of associates while balancing service levels, risk, case complexity, staffing, and changing business priorities.

• Operate as a player/coach by maintaining an individual case load and personally reviewing and approving Money Movement transactions using applicable regulations, firm policies, supporting documentation, and sound supervisory judgment.

• Serve as an escalation point for complex or sensitive Money Movement matters, including transactions involving unusual circumstances, potential fraud or financial exploitation, policy exceptions, or heightened firm risk.

• Contact clients, when appropriate, to verify disbursements or clarify circumstances; review ACH, Standing Letter of Authorization (SLOA), and Periodic Payment setups; and support other day-to-day Money Movement supervisory reviews.

• Monitor team workflow and the Money Movement Supervision inbox, ensure appropriate ownership and follow-through, and step into cases or queues when needed to support timely resolution.

• Explain supervisory concerns, decisions, and required actions clearly to financial advisors, branch managers, regional leadership, clients, and internal partners—even when the conversation is sensitive or the answer is not the one requested.

• Build trust and effective working relationships across Supervision, Operations, Fraud, Compliance, Legal, PCG management, and other functional areas to research and resolve complex issues.

• Use metrics, quality assurance feedback, trends, and team observations to identify areas of risk or inefficiency and implement training, corrective action, process improvements, or other enhancements.

• Support the development, implementation, monitoring, and continuous improvement of Money Movement supervisory procedures, workflows, controls, policies, and technology.

• Participate in high-priority Money Movement initiatives and cross-functional projects, helping translate business and regulatory needs into practical processes and solutions.

• Support regulatory inquiries, compliance testing, internal audit requests, and other reviews related to Money Movement supervision.

• Maintain current knowledge of regulations, firm policies, emerging risks, and Money Movement practices and ensure that knowledge is applied consistently across the team.

• Present Money Movement supervisory topics, trends, process changes, or initiatives to stakeholders as needed.

• Perform other duties and responsibilities as assigned.

What Will Help You Succeed

• A leadership style that combines clear expectations and accountability with coaching, development, and a willingness to work alongside the team.

• Critical thinking and sound judgment, including the ability to interpret regulatory requirements and firm policies and apply them to complex or unusual circumstances.

• The ability to shift effectively between leading the team and personally handling supervisory work without losing sight of either responsibility.

• Strong analytical and problem-solving skills, including the ability to identify trends, quantify issues, assess risk, and develop practical solutions.

• Clear, confident written and verbal communication with clients, financial advisors, branch managers, senior leaders, and internal partners.

• Professional composure and tact during sensitive, challenging, or high-stakes conversations, including the ability to de-escalate conflict and explain the rationale behind decisions.

• Strong collaboration and relationship-building skills across business units and differing perspectives.

• The ability to organize, prioritize, and track multiple detailed assignments in a fast-paced environment with frequent interruptions and changing priorities.

• A disciplined eye for detail and risk, balanced with a big-picture view of workflow, client and advisor experience, and broader business impact.

• A commitment to high-quality service without compromising supervisory standards, regulatory obligations, or risk controls.

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A) in a related discipline and a minimum of six (6) years of experience in Supervision and/or the financial services industry.

~or~

• An equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications:

• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.

  • SIE required provided that an exemption or grandfathering cannot be applied.

  • Required to have a Series 7, 9 and 10

  • Series 24 can be used instead of the 9 and 10

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

How You Will Lead and Work

Lead from within the work: Stay close to the team’s day-to-day responsibilities, maintain your own case load, and step in when complexity, volume, or risk requires additional leadership support.

Set clear expectations: Establish priorities, define ownership, monitor progress, and hold the team accountable for quality, timeliness, documentation, and follow-through.

Coach for growth: Give direct, productive feedback, identify development opportunities, and help associates strengthen judgment, technical expertise, communication, and confidence.

Follow the evidence: Investigate complex transactions and client circumstances, connect relevant facts, and reach well-supported conclusions.

Use sound judgment: Balance regulatory requirements, client circumstances, firm exposure, operational realities, and probable consequences; recognize when escalation or additional review is needed.

Communicate with clarity: Explain concerns, decisions, required actions, and supporting rationale in a direct, respectful, and well-documented manner.

See the broader risk: Look beyond an individual transaction or case to identify trends, control gaps, emerging risks, and opportunities to strengthen the supervisory program.

Partner effectively: Build trust across Supervision, Operations, Fraud, Compliance, Legal, branches, and regional leadership and work through differing perspectives to reach appropriate outcomes.

Own the outcome: Ensure matters move from initial review through documented resolution, whether handled personally or delegated to a member of the team.

Adapt and improve: Respond effectively to changing priorities, regulations, emerging risks, business needs, and technology while continuously looking for ways to improve the team and the work.

Are You Ready to Make an Impact?

If you are a hands-on leader who can develop people, make well-reasoned decisions, and step directly into complex supervisory work when needed, we would like to hear from you. This role requires both leadership and individual contribution—and both matter.

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.