Advisory & Managed Accounts Operations Supervisor Memphis, TN

Operations Supervisor

Raymond James is seeking an experienced operations supervisor to lead teams supporting Advisory and Managed New Account processing within a fast-paced financial services environment. The ideal candidate will bring strong operational leadership experience along with a deep understanding of investment products, managed accounts, and account onboarding processes.

This role is best suited for a candidate who has demonstrated success supervising operations teams supporting investment advisory products, separately managed accounts (SMAs), unified managed accounts (UMAs), fee-based advisory platforms, or related wealth management products. The candidate should possess strong risk awareness, regulatory knowledge, and the ability to drive operational excellence while supporting advisors and delivering high-quality client experiences.

Responsibilities include supervising others working within established operational systems, leading a team supporting Advisory and Managed New Account operations, ensuring accurate and timely processing of investment account documentation and onboarding activities, utilizing knowledge of investment products, advisory platforms, brokerage operations, and managed account processes to support operational effectiveness and mitigate risk, contributing to the development of annual and longer-term business plans, communicating the local action plan, developing and proposing own performance objectives, supervising a team providing administrative and service operations support, developing short- or medium-term work schedules in order to achieve planned commitments, identifying shortcomings in existing processes, systems, and procedures, ensuring operational activities align with applicable FINRA, SEC, and internal compliance requirements related to investment and advisory account operations, providing coaching to team members to develop their skills, and identifying, within the team, instances of noncompliance with the organization's policies and procedures and/or relevant regulatory codes and codes of conduct, reporting these instances and escalating issues as appropriate.

Experience includes prior supervisory or team leadership experience within brokerage operations, advisory operations, managed accounts, or wealth management operations, experience supporting investment products and advisory account platforms, including managed accounts, fee-based advisory programs, and brokerage account onboarding, strong understanding of operational risk, account controls, client onboarding, suitability considerations, and regulatory requirements associated with investment account processing, and ability to partner effectively with advisors, compliance, risk, and operational stakeholders in a highly regulated financial services environment.

Skills include strong leadership, organizational, and team development skills with the ability to prioritize and oversee operational activities to meet business objectives, demonstrated knowledge of investment operations, advisory platforms, managed account processing, and wealth management onboarding functions, ability to interpret and apply FINRA, SEC, and internal regulatory policies and procedures within a highly regulated financial services environment, strong analytical and problem-solving skills with the ability to identify operational risks, process gaps, and opportunities for improvement, effective verbal and written communication skills with the ability to provide guidance, coaching, and technical direction to team members and business partners, experience analyzing operational data and performance metrics to support reporting and business decision-making, ability to manage competing priorities, adapt to changing business needs, and drive operational efficiency in a fast-paced environment, strong customer service mindset with the ability to support advisors, internal partners, and clients effectively, experience managing projects, workflows, and process improvement initiatives within established timelines and quality standards, and ability to collaborate and build consensus across operations, compliance, risk, and other…