Senior Retirement Plan Specialist

Senior Retirement Plan Specialist

Raymond James is seeking an experienced professional to serve as a Senior Retirement Plan Specialist. This role requires advanced expertise in qualified retirement plans and IRAs, gained through extensive experience, specialized training, and/or certification. The specialist will work with minimal supervision, providing comprehensive support to financial advisors, branches, internal associates, and departments.

• Lead training initiatives to enhance quality and effectiveness across the organization.
• Manage moderately complex projects and serve as a technical advisor across teams.
• Provide advanced product and service information, incorporating regulatory or IRS‑specific detail when relevant, and respond to complex customer questions with accuracy and clarity.
• Identify and report non‑compliance with organizational policies, regulatory guidelines, and IRS rules, escalating issues to ensure corrective action and audit readiness.
• Resolve escalated customer issues independently, providing managerial approvals and compliance checks as needed.
• Deliver a consistently high‑quality service experience while identifying opportunities to support business retention, improve operational processes, or enhance compliance.
• Provide technical guidance or training to peers, translating customer requirements into business language and processes.
• Build and strengthen customer relationships through compliant, accurate service and proactive engagement.

• Monitor and report internal non‑compliance, ensuring prompt escalation.
• React to advanced issue escalations promptly and appropriately.
• Maintain a quality service to clients while identifying new business or retention opportunities.

• Rules and regulations of the IRS and DOL regarding IRAs and qualified plans.
• Fundamental financial planning and investment concepts used in the securities industry.
• Principles of securities industry operations, financial services, and products.

• Operates with full competence and independence, delivering high‑quality services that meet regulatory requirements.
• Provides technical guidance and training to others.
• Aligns organizational processes with customer needs while maintaining compliance.
• Builds strong client relationships and mentors peers on best practices.

• Securities Industry Essentials (SIE) Exam
• FINRA Series 99 – Operations Professional
• FINRA Series 7 – General Securities Representative
• Certified Investment Services Professional (CISP)

Bachelor’s degree required (Accounting, Business Administration, Finance, or equivalent). High school diploma is the minimum requirement.

General

Experience:

3 to 6 years in a related role.

Less than 25%.

Hybrid – office days 3 per week (average 12 days per month) ersburg, FL, Memphis, TN, or Southfield, MI.

Raymond James is an equal‑opportunity employer. We are an inclusive culture that values authenticity, integrity, and a conservative, long‑term view.