Supervisor, Operations - Series 7 & 66 Required

Requirements

• Supervisory Skills: Demonstrate well-rounded leadership qualities and supervisory skills coupled with a mastery of brokerage operations.
• Client Experience: Ensure teams you lead deliver a positive Service 1st experience by monitoring interactions with clients and utilizing metrics to manage workflows.
• Training and Education : Be the primary point of contact for onboarding new Associates and provide ongoing training to refine client interactions.
• Staffing : Confirm day-to-day call center staffing is adequate to respond to call volumes.
• Human Resources : Manage your team in accordance with Raymond James' Human Resources policies and procedures.
• Collaboration: Partner with other home office departments to resolve client account issues and improve operational processes.
• Escalation Point of Contact: Respond to and resolve escalated situations.
• Inbound Calls: Serve as an additional resource in the call center during high call volumes.
• Trade Execution: Execute client-directed trades across various product types (equities, mutual funds, options, fixed income, and alternative investments).
• Proactive Communication: Reach out to clients to address important account matters and conduct routine follow up as needed.
• Transaction Processing: Handle client-directed transactions such as ACH transfers, wire transactions, and journal requests regularly.
• Account Management: Manage a diverse range of accounts, including trust, estate, and entity accounts.
• Ethics & Compliance: Maintain a high level of integrity and adhere to Raymond James' Code of Business Conduct & Ethics.
• Risk Mitigation: Work with branch and firm resources to mitigate risks.
• Progress Reporting: Provide regular updates to senior management regarding team performance and challenges.
• Process Documentation: Develop and Document branch processes into Standard Operating Procedures.
• Knowledge Of:
• Human Resources: understanding how to interpret and apply Raymond James' Human Resources policies to the team you manage.
• Call Center Best Practices: including how to handle difficult calls, proper call authentication procedures, and etiquette.
• Multiple Account Types: including but not limited to standard individual and joint accounts, trust accounts, estate accounts, qualified accounts, beneficiary IRAs, entity accounts, usufruct accounts, 529 accounts, etc.
• Securities Trading: Advanced knowledge of trading stocks, options, mutual funds, bonds, fixed income investments, UITs, Closed End Funds, and a familiarity of alternative investments.
• Inheritance Case processing: Familiarity with industry inheritance practices and ability to adapt Raymond James' policies.
• Skill in:
• Interpreting and applying policies and procedures
• Establishing operational objectives
• Implementing processes and procedures for efficient and timely workflow
• Promoting effective coordination between work groups
• Preparing operational budgets
• Ability to:
• Learn the concepts, principles and practices of assigned functional area
• Plan, assign, monitor, review, evaluate and supervise the work of others
• Coach and mentor others
• Identify training needs and develop subordinates
• Balance conflicting resource and priority demands
• Partner with other functional areas to accomplish objectives
• Facilitate meetings, ensuring that all viewpoints, ideas and problems re addressed
• Incorporate needs, wants and goals from different business unit perspectives into operational processes
• Communicate effectively, both orally and in writing
• Work independently as well as collaboratively within a team environment
• Lead others in providing a high level of customer service
• Establish and maintain effective working relationships at all levels of the organization.
• Educational/Previous Experience Requirements
• Bachelor's degree in a related field or an equivalent combination of education and work experience.
• Three (3) or more years' experience in financial services / operations including one (1) year as team lead or leadership experience in a financial or service organization.
• SIE required provided that an exemption or grandfathering cannot be applied
• Series 7 and 63/65 or 66 Required - must able to be registered in all 50 states
• Series 9, 10 and 24 preferred.
• Raymond James honors a hybrid environment but during the first 60 days of training must be in the office 5 days per week.
• Education
• Bachelor's: Business Administration, Bachelor's: Finance
• Work Experience
• General Exper

Benefits

Additional Information

Job Description Summary Job Description Investment Central, a specialized department at the Raymond James home office, provides exceptional service to Raymond James' clients. Although we operate as a home office department, our approach mirrors that of most Raymond James branches. As a licensed Supervisor, you will lead a team of Associates, focusing on delivering a Service 1st client experience. Your responsibilities include supervisory skills, client experience management, training, staffing, collaboration, and more.

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