SVP, Division Director, ICD Western Division

Job Description

Essential Duties and Responsibilities

•       Develops, implements and delivers programs and procedures for Raymond James Financial Services (RJFS) with Branch Owners (BO’s) and Financial Advisors (FAs) involving recruiting, relationship management, asset growth, and disciplinary actions.

•       Evaluates each prospective new RJFS ICD branch manager and financial advisor candidate and approve or deny the candidate for affiliation with RJFS.

•       Develops relationships with ICD branch managers and financial advisors.

•       Develops and implements growth strategies, including retention, attrition, and asset and revenue growth goals.

•       Continually supports the monitoring and oversight of sales practices of branch managers and their financial advisors in the region for compliance with all federal and state regulations as well as RJFS policies.

•       Takes prudent corrective actions with branch managers or through branch managers when improper sales practices are discovered in the assigned region, including decisions to continue or terminate the affiliation of the advisor/branch with RJFS.

•       Serves as a change agent. Supports, communicates, and reinforces changes in strategic initiatives and corporate policies.

•       Formulates/delivers practice management strategies and campaigns that focus on business management, product knowledge and professional development of financial advisors (FAs).

•       Implements regular sales calls and workshops for financial advisors to enhance communication and relationship building with advisor population.

•       Assists in the development and execution of professional development activities at national and regional conferences.

•       Plans, assigns, monitors, reviews, evaluations and leads the work of home office regional associates.

•       Coaches and mentors direct reports, identifies training needs and recommends appropriate development programs for regional management team members.

•       Performs other duties and responsibilities as assigned.

Qualifications - External

Knowledge, Skills, and Abilities:

Knowledge of

•       Company’s working structure, policies, mission, strategies, and compliance guidelines.

•       Investment concepts, practices and procedures used in the securities industry.

•       Principles of banking and finance and securities industry operations.

•       Financial markets and products.

•       Financial advisors’ duties and challenges.

Skill in

•       Preparing and delivering clear, effective, and professional presentations.

•       Operating standard office equipment and using required software applications.

Ability to

•       Handle stressful situations and provide a high level of customer service in a calm and professional manner.

•       Assimilate and prioritize strategies into operational guidelines.

•       Establish clear directions and priorities.

•       Plan, assign, monitor, review, evaluate and lead the work of others; coach and mentor others.

•       Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated in a fast-paced work environment.

•       Work independently as well as collaboratively within a team environment.

Education/Previous Experience

•       Bachelor’s Degree (B.A) required in a related field with a minimum of fifteen (15) years’ experience in the financial services industry; with ten (10) years of management experience, and sales management experience in the securities industry required.

         OR ~

•       Master’s Degree in a related field with a minimum of ten (10) to twelve (12) years’ experience in the financial services industry; with eight (8) years of management experience, and sales management experience in the securities industry required.

         OR ~

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

Licenses/Certifications

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

•       Series 7 required. Series 24 or 9/10 required.

Education

Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance

Work Experien