SVP, Division Director, ICD Western Division

Job Description

JOB SUMMARY

As a senior leader within the Independent Contractor Division, this position plays a critical role in shaping and executing the ICD strategy of the independent contractor division, with a focus on delivering an exceptional client and advisor experience.  This role is responsible for driving high-impact initiatives that support the growth, productivity, and long-term success of our West Division branch owners and financial advisors.

In addition to direct leadership responsibilities, this position leads and develops a team of experience support professionals who work in partnership with the field and home office to deliver integrated, proactive service.  Together, they serve as trusted business partners to our advisors – supporting day-to-day operations, enhancing practice efficiency, and enabling growth through consultative engagement.

This role requires an experienced leader with a track record of building teams, fostering partnerships, and delivering measurable outcomes in a dynamic, advisor-centered and compliant environment.  The ideal candidate combines strategic vision with a hands-on approach and passion for service and regulatory excellence.

LOCATION:  The West Division of responsibility includes AZ, CA, ID, NM, NV, OR, WA. This position must be located in an “easily-accessible” part of this region. 

Essential Duties and Responsibilities

•    Provide strategic leadership and direction to support the overall goals and elevate the service and support model for the independent contractor division.

• Lead a team of senior relationship management and operational professionals that deliver expert guidance and business support to branch owners and advisors.

• Champion a client-first culture by driving initiatives to enhance advisor efficiency, client satisfaction, and overall business growth.

• Drive recruiting efforts by building relationships with internal recruiting partners, prospective advisors and delivering a compelling value proposition. 

• Cultivate deep, trust-based relationships with branch leaders and top advisors to support retention and long-term engagement.

• Influence asset growth by identifying opportunities to support business expansion, improve practice management, and increase advisor productivity. 

• Ensure adherence to regulatory standards and firm policies through effective supervision and risk mitigation practices. 

• Collaborate across the firm to deliver solutions that align with advisor needs and business objectives, including technology, compliance, operations, and marketing.

• Identify trends, risks, and opportunities to drive innovation and improve field engagement and satisfaction.

• Serve as senior voice and advocate for the advisors within the organization, influencing decisions and shaping the evolution of the division’s service model while also supporting, communicating and reinforcing changes in strategic initiatives and corporate policies.

• Develop and mentor a team of professionals who serve as trusted partners to branch leaders and advisors to ensure deep expertise, consistent service delivery, and strong cross-functional collaboration. 

Knowledge, Skills, and Abilities

Knowledge of

• Wealth management and financial advisory business models, particularly independent contractor and hybrid structures.

• Practice management principles and advisor business development strategies.

• Regulatory and compliance standards (e.g., FINRA, SEC) as they apply to advisory practices

• Advisor recruiting and onboarding best practices.

• 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.

• The competitive landscape and trends impacting independent advisors and the broader industry.

Skill in

• Executive-level relationship management and strategic, professional communication.

• Leading and developing high-performing teams across functions.

• Translating strategic objectives into actionable plans.

• Driving process improvement and delivering scalable service models

• Analyzing business performance data to inform decisions

• Conflict resolution, change management, and influencing without authority

• Supervisory oversight and applying risk management frameworks effectively.

• Partnering cross-functionally to solve complex business challenges.

• Operating standard office equipment and using required software applications.

Ability to

• Build credibility and trust with advisors, branch leaders, and executive peers.

• Navigate and lead through ambiguity in a fast-paced, client centric environment.

• Balance strategic thinking with hands-on execution.

• Inspire and motivate teams through coaching, accountability, and recognition.

• Identify opportunities for growth and advisor support across a distributed model.

• Maintain a high standard of integrity and confidentiality.

• Align teams and initiatives with the firm’s mission, culture, and values.

• 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.

Educational/Previous Experience Requirements

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

Work Experience

Manager Experience - More than 15 years

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 12 or Series 24_SM - Securities Manager - Financial Industry Regulatory Authority (FINRA), Series 7_GS (pre 5/77 - No Options) - Financial Industry Regulatory Authority (FINRA), Series 8 or Series 9/10_SU - Gen Sec Sales Supervisor - Financial Industry Regulatory Authority (FINRA)

Salary Range

$225,000.00-$275,000.00

Travel

Up to 50%

Workstyle

Remote

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. 

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