Braden Radcliff
Financial services professional with 10+ years of progressive leadership in market supervision, regulatory compliance, and branch operations across broker-dealer and wealth management environments.
- Role
- Supervision Manager at Raymond James
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
About Braden Radcliff
I am financial services leader with 10+ years of progressive leadership in market supervision, regulatory compliance, and branch operations across broker-dealer and wealth management environments. History of building and scaling centralized supervision models, enhancing trade surveillance protocols, and driving firmwide adherence to FINRA, SEC, DOL, MSRB, and NYSE regulations. What I Bring to the Table: • Deep expertise in branch supervision and compliance monitoring • Proven success building and scaling supervision programs across complex organizations • A “manager of managers” leadership style that empowers teams and drives performance • Track record of navigating audits, implementing policies, and closing regulatory gaps Key Achievements: Led successful multi-phase rollout of centralized supervision at Janney Managed cross-functional teams of up to 25 in fast-paced, regulated environments Oversaw 7-branch expansion across the Carolinas while maintaining 100% compliance Built hybrid service/trading teams and launched multilingual client support functions Core Strengths: Market Supervision & Branch Oversight FINRA, SEC, MSRB, DOL Compliance Policy Development & Audit Readiness Trade Surveillance & Correspondence Review Talent Development & Team Leadership Cross-Functional Collaboration & Change Management I lead with a strategic mindset, a firm grasp of regulatory frameworks, and a relentless focus on risk mitigation and client experience. I thrive in high-stakes, high-volume environments where operational rigor, regulatory clarity, and leadership maturity matter most. Let’s connect if you’re looking to discuss compliance leadership, branch supervision models, or building high-performing, audit-ready teams in financial services.
Experience
Supervision Manager
Jul 2025 — Present · Charlotte, NC, US
Education
East Carolina University
Master of Business Administration (MBA), Business Administration and Management, General
2012 — 2017
University of North Carolina at Charlotte
BSBA, International Business
2004 — 2008
University of North Carolina at Charlotte
BA, Spanish
2004 — 2008
Skills
- Strategic Planning
- Microsoft Excel
- Financial Analysis
- Access
- Public Speaking
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