Supervisor, Operations - Series 7 & 66

Position: Supervisor, Operations - Series 7 & 66 Required
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:*
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** Supervisory

Skills:

** Demonstrate well-rounded leadership qualities and supervisory skills coupled with a mastery of brokerage operations.

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** Client

Experience:

** Ensure teams you lead deliver a positive Service 1st experience by monitoring interactions with clients and utilizing metrics to manage workflows.

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** Training and Education** :
Be the primary point of contact for onboarding new Associates and provide ongoing training to refine client interactions.

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** Staffing** :
Confirm day-to-day call center staffing is adequate to respond to call volumes.

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** Human Resources** :
Manage your team in accordance with Raymond James' Human Resources policies and procedures.

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* Collaboration:

** Partner with other home office departments to resolve client account issues and improve operational processes.

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** Escalation Point of Contact:
** Respond to and resolve escalated situations.

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** Inbound Calls:
** Serve as an additional resource in the call center during high call volumes.

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** Trade Execution:
** Execute client-directed trades across various product types (equities, mutual funds, options, fixed income, and alternative investments).

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** Proactive Communication:
** Reach out to clients to address important account matters and conduct routine follow up as needed.

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** Transaction Processing:
** Handle client-directed transactions such as ACH transfers, wire transactions, and journal requests regularly.

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** Account Management:
** Manage a diverse range of accounts, including trust, estate, and entity accounts.

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** Ethics & Compliance:
** Maintain a high level of integrity and adhere to Raymond James' Code of Business Conduct & Ethics.

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** Risk Mitigation:
** Work with branch and firm resources to mitigate risks.

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** Progress Reporting:
** Provide regular updates to senior management regarding team performance and challenges.

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** Process Documentation:
** Develop and Document branch processes into Standard Operating Procedures.

** Knowledge Of:*
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** Human Resources:
** understanding how to interpret and apply Raymond James' Human Resources policies to the team you manage.

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** Call Center Best Practices:
** including how to handle difficult calls, proper call authentication procedures, and etiquette.

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** 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.

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** Securities Trading:
** Advanced knowledge of trading stocks, options, mutual funds, bonds, fixed income investments, UITs, Closed End Funds, and a familiarity of alternative investments.

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** 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…