Supervisor, Operations - Series 7 & 66 Required

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.

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 Experience - 3 to 6 years, Manager Experience - 13 months to 3 years

Certifications

s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Less than 25%

Workstyle

Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

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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