**Job Description** **Job Summary** Under limited supervision uses specialized knowledge and skills obtained through experience, specialized training, or certification to lead a team of analysts responsible for responding to and investigating suspicions of senior and vulnerable adult financial exploitation and suspicions of diminished capacity of senior clients where there is not an authorized party to make financial decisions. Provides training, coaching, and development of staff and comprehensive solutions to escalated problems or needs. Provides internal and external outreach, education, and training. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues related to senior and vulnerable clients. Leads defined work or projects of extensive scope and complexity. **Essential Duties and Responsibilities** + Performs human resources management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, as well as participating in interviewing and selecting staff. + Plans, assigns, monitors, reviews, evaluates, and leads the work of others. + Coaches and mentors subordinates, identifies training needs, and recommends appropriate development programs. + Interfaces with regional management associates to inform them of any supervisory concerns that may arise with branch office managers/FAs and works together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts. + Monitors and keeps up to date with regulations and legislation related to the financial exploitation of seniors. + May participate in the formation of policies related to seniors and vulnerable adults. + Trains new associates. + Acts as a mentor to new associates by sharing resources and encouraging their growth. + Takes on complex and extensive projects outside of regular duties for Senior Management. + Identifies and recommends solutions to automate and streamline functions that improve overall efficiency. + Develops new procedures and best practices for workflows. + Conducts testing of new processes. + Acts as the point person for other departments concerning Senior and At-Risk clients. + Builds relationships with advisors in the field fostering a positive relationship. + Conducts quality reviews. + Performs other duties and responsibilities as assigned. **Knowledge of** + Investment concepts, practices, and procedures used in the securities industry. + Company’s working structure, policies, mission, and strategies. + General office practices, procedures, and methods. + Rules, regulations, and laws associated with senior and vulnerable investors. **Skill in** + Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases. + Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. + Effective time management, including prioritization and appropriate delegation of tasks. + Detail orientation to ensure the regulatory liability is limited, without impairing workflow. + Utilizing business-appropriate phone manners. **Ability to** + Manage, coach, and mentor others. + Experience in holding others accountable, performance coaching, and providing effective feedback. + Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision. + Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers/FAs. + Use reporting to appropriately identify and address trends. + Establish and communicate clear directions and priorities. + Sound understanding of performance and risk trending. + Strong verbal and written communication. + Provide a high level of customer service. + Lead projects and facilitate presentations. **Education** Bachelor’s **Work Experience** General Experience - 6 to 10 years **Certifications** Other License Not Listed - Other **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. \#LI-AF1