Raymond James Financial
Supervisor, Operations
Raymond James Financial, Orlando, Florida, us, 32885
Job Description - Supervisor, Operations (2402568)Job SummaryInvestment 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.Essential Duties and ResponsibilitiesSupervisory 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.QualificationsKnowledge, Skills, and Abilities:Knowledge of:
Human Resources policies, call center best practices, multiple account types, securities trading, and inheritance case processing.Skill in:Interpreting and applying policies and proceduresEstablishing operational objectivesImplementing processes and procedures for efficient and timely workflowPreparing operational budgetsAbility to:Learn the concepts, principles, and practices of assigned functional areaPlan, assign, monitor, review, evaluate and supervise the work of othersCoach and mentor othersIdentify training needs and develop subordinatesBalance conflicting resource and priority demandsPartner with other functional areas to accomplish objectivesFacilitate meetings, ensuring that all viewpoints, ideas, and problems are addressedIncorporate needs, wants, and goals from different business unit perspectives into operational processesCommunicate effectively, both orally and in writingWork independently as well as collaboratively within a team environmentLead others in providing a high level of customer serviceEstablish and maintain effective working relationships at all levels of the organizationEducational/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.Licenses/Certifications:SIE required provided that an exemption or grandfathering cannot be applied.Series 7 and 63/65 or 66 Required.Series 9, 10, and 24 preferred.Raymond James Guiding Behaviors: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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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.QualificationsKnowledge, Skills, and Abilities:Knowledge of:
Human Resources policies, call center best practices, multiple account types, securities trading, and inheritance case processing.Skill in:Interpreting and applying policies and proceduresEstablishing operational objectivesImplementing processes and procedures for efficient and timely workflowPreparing operational budgetsAbility to:Learn the concepts, principles, and practices of assigned functional areaPlan, assign, monitor, review, evaluate and supervise the work of othersCoach and mentor othersIdentify training needs and develop subordinatesBalance conflicting resource and priority demandsPartner with other functional areas to accomplish objectivesFacilitate meetings, ensuring that all viewpoints, ideas, and problems are addressedIncorporate needs, wants, and goals from different business unit perspectives into operational processesCommunicate effectively, both orally and in writingWork independently as well as collaboratively within a team environmentLead others in providing a high level of customer serviceEstablish and maintain effective working relationships at all levels of the organizationEducational/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.Licenses/Certifications:SIE required provided that an exemption or grandfathering cannot be applied.Series 7 and 63/65 or 66 Required.Series 9, 10, and 24 preferred.Raymond James Guiding Behaviors: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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