Supervisor, Operations - AMS Trading

Supervisor, Operations - AMS Trading

Raymond James

Manages professionals from entry-level to specialist and expert in the field of Asset Management, providing direction, leadership, and support for AMS UMA Trading Operations. Implements business plans, ensures policies and procedures are followed, and drives efficiency and quality within the area.

This position follows a hybrid work model: 50% of the days in the office at our Memphis, TN, corporate office and 50% remote. Strong people‑leader required with coaching, development, and performance management experience.

• Oversee and manage day‑to‑day operations of AMS UMA Trading Operations group.
• Partner with cross‑site peers and managers to establish performance goals for the department; collaborate with and direct associates to meet or exceed these goals.
• Act as an information source for associates and ensure training and development occur.
• Plan, assign, monitor, review, evaluate, and lead associates’ work.
• Oversee team morale and plan appropriate team‑building activities and rewards and recognition.
• Handle performance management, including career development and progressive discipline of direct reports.
• Interview and hire associates who possess the core competencies of the position to strengthen the department and mitigate turnover.
• Collaborate with peers on establishing objectives and developing processes and procedures to ensure efficient and timely workflow with special regard to service delivery, compliance, and risk factors for the firm.
• Ensure appropriate documentation and departmental tools are created and/or maintained (job procedures, job aids, forms, training material, etc.).
• Interpret and apply organizational policies and procedures.
• Collaborate with other supervisors in the same or different functional groups to accomplish assigned goals and process/policy changes; this often occurs across multiple sites.
• Overlay accounts to pre‑defined single and multi‑sleeve trading models and execute trades based on product guidelines.
• Participate in the best execution review panel for covered accounts.
• Plan, implement, and execute periodic large‑scale rebalances for various managed platforms.

• General knowledge of managed account practices.
• Understanding of model‑based portfolios and their implementation.
• Investment concepts, practices, and procedures used in the securities industry.
• Market trading practices of products, including equities, ETFs, UCITs, ADRs, and mutual funds.
• Experience creating and executing large block trade allocations and determining the best method of execution.
• Managing workflow and priorities in a fast‑paced environment.
• Establishing operational objectives and implementing processes and procedures for efficient and timely workflow.
• Coaching and mentoring others; identifying training needs and developing subordinates.
• Balancing conflicting resource and priority demands.
• Effective communication, both orally and in writing, and the ability to work independently as well as collaboratively within a team environment.
• Leading others in providing a high level of customer service and maintaining effective working relationships at all levels of the organization.

Bachelor’s degree required (Accounting, Business Administration, Finance) or a high school diploma/High School equivalency.

Manager‑level experience: 13 months to 3 years.

• Securities Industry Essentials Exam (SIE) – Financial Industry Regulatory Authority (FINRA)
• Tax Credit Specialist (TCS) – National Center for Housing Management (NCHM)

Less than 25% of the time.

Hybrid.

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. The Company is an equal‑opportunity employer and makes all employment decisions on the basis of merit and business needs.