Vice President, Advisory Supervision

Vice President Of Advisory Supervision

The Vice President of Advisory Supervision is a strategic leader responsible for ensuring the integrity, compliance, and effectiveness of Raymond James' investment advisory programs. This role operates with a high degree of autonomy and influence, driving firm-wide initiatives that support prudent supervisory practices and mitigate risk. The VP leads cross-functional efforts to uphold regulatory standards and firm policies across a diverse advisory landscape, including Prudent Process, Independent Registered Investment Advisers (IRIA), Corporate RIA, and both discretionary and non-discretionary platforms. This position requires a strong proactive, vocal, and visible leadership presence, a continuous improvement mindset, and the ability to guide teams and processes in a dynamic regulatory environment. The VP will operate at different levels of granularity which span guiding direct reports to advising senior Private Client Group (PCG) management on future program direction.

Essential Duties and Responsibilities

• Lead strategic initiatives and partner with cross-functional teams to enhance supervisory practices.
• Demonstrate proactive, vocal, and visible leadership by setting clear expectations, driving accountability, and fostering a culture of transparency and engagement across teams and stakeholders.
• Collaborate closely with Risk, Legal, Compliance, and PCG to ensure supervisory practices align with regulatory expectations, mitigate firm risk, and support advisor and client outcomes.
• Develop and implement a robust supervisory framework for investment advisory programs.
• Monitor regulatory changes and ensure firm-wide compliance across advisory activities.
• Foster a continuous improvement mindset by proactively identifying and executing process enhancements that optimize supervisory effectiveness, increase efficiency, and support scalable growth.
• Manage, mentor, and develop a team of supervisory professionals.
• Provide training, guidance, and career development support to team members.
• Deliver presentations and reports to senior leadership and stakeholders.
• Lead or contribute to additional projects based on expertise, including program design and implementation.

Knowledge, Skills, and Abilities Knowledge of

Skill in

Ability to

Educational / Previous Experience Requirements Education / Previous Experience

Licenses / Certifications

Travel Less than 25% Workstyle Hybrid

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.