Supervise others working within established operational systems.
Lead a team supporting Advisory and Managed New Account operations, ensuring accurate and timely processing of investment account documentation and onboarding activities.
Utilize knowledge of investment products, advisory platforms, brokerage operations, and managed account processes to support operational effectiveness and mitigate risk.
Contribute to the development of annual and longer-term business plans; forecast performance against key business performance indicators (KPIs); develop business cases for key activities/projects; and estimate the financial and human resources required to deliver performance targets.
Communicate the local action plan; explain how this relates to the function's strategy and action plan and to the broader organization's mission and vision; motivate people to achieve local business goals.
Supervise a team providing administrative and service operations support and maintain deep expertise in the service operations provided by that team.
Develop short- or medium-term work schedules in order to achieve planned commitments. Approve overtime or use additional resources as needed.
Identify shortcomings in existing processes, systems, and procedures, and use established change management programs to address them.
Work within established procedures to achieve specified goals.
Ensure operational activities align with applicable FINRA, SEC, and internal compliance requirements related to investment and advisory account operations.
Provide coaching to team members to develop their skills.
Identify, within the team, instances of noncompliance with the organization's policies and procedures and/or relevant regulatory codes and codes of conduct, reporting these instances and escalating issues as appropriate.
Requirements
Prior supervisory or team leadership experience within brokerage operations, advisory operations, managed accounts, or wealth management operations.
Experience supporting investment products and advisory account platforms, including managed accounts, fee-based advisory programs, and brokerage account onboarding.
Strong understanding of operational risk, account controls, client onboarding, suitability considerations, and regulatory requirements associated with investment account processing.
Ability to partner effectively with advisors, compliance, risk, and operational stakeholders in a highly regulated financial services environment.
Strong leadership, organizational, and team development skills with the ability to prioritize and oversee operational activities to meet business objectives.
Demonstrated knowledge of investment operations, advisory platforms, managed account processing, and wealth management onboarding functions.
Ability to interpret and apply FINRA, SEC, and internal regulatory policies and procedures within a highly regulated financial services environment.
Strong analytical and problem-solving skills with the ability to identify operational risks, proce
Benefits
Vision insurance
Additional Information
Job Description Summary
Manage the development and implementation of processes, systems, and infrastructure to ensure a high quality and timeliness of operations in areas such as account services, international securities, transaction processing, or loan support/credit approval. Manage several departments of a processing unit or the entire unit.
Job Description
This position follows our hybrid-friendly schedule, so you get the best of both worlds - flexibility and collaboration. In-office days will be 3 per week averaging 12 days per month in our Memphis, TN Corporate Office.
Role Overview:
Raymond James is seeking an experienced operations supervisor to lead teams supporting Advisory and Managed New Account processing within a fast-paced financial services environment. The ideal candidate will bring strong operational leadership experience along with a deep understanding of investment products, managed accounts, and account onboarding processes.
This role is best suited for a candidate who has demonstrated success supervising operations teams supporting investment advisory products, separately managed accounts (SMAs), unified managed accounts (UMAs), fee-based advisory platforms, or related wealth management products. The candidate should possess strong risk awareness, regulatory knowledge, and the ability to drive operational excellence while supporting advisors and delivering high-quality client experiences.
Raymondjames · Memphis