Supervisor, Operations - Series 7 & 66 Required

Raymond James•Saint Petersburg, FL

1d•Hybrid

About The Position

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.

Requirements

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.
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
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.
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

Nice To Haves

Series 9, 10 and 24 preferred.

Responsibilities

Demonstrate well-rounded leadership qualities and supervisory skills coupled with a mastery of brokerage operations.
Ensure teams you lead deliver a positive Service 1st experience by monitoring interactions with clients and utilizing metrics to manage workflows.
Be the primary point of contact for onboarding new Associates and provide ongoing training to refine client interactions.
Confirm day-to-day call center staffing is adequate to respond to call volumes.
Manage your team in accordance with Raymond James’ Human Resources policies and procedures.
Partner with other home office departments to resolve client account issues and improve operational processes.
Respond to and resolve escalated situations.
Serve as an additional resource in the call center during high call volumes.
Execute client-directed trades across various product types (equities, mutual funds, options, fixed income, and alternative investments).
Reach out to clients to address important account matters and conduct routine follow up as needed.
Handle client-directed transactions such as ACH transfers, wire transactions, and journal requests regularly.
Manage a diverse range of accounts, including trust, estate, and entity accounts.
Maintain a high level of integrity and adhere to Raymond James' Code of Business Conduct & Ethics.
Work with branch and firm resources to mitigate risks.
Provide regular updates to senior management regarding team performance and challenges.
Develop and Document branch processes into Standard Operating Procedures.