Supervisor, Operations – Series 7 & 66 Required

• lead a team of Associates, focusing on delivering a Service 1st client experience.
• demonstrate well-rounded leadership qualities and supervisory skills coupled with a mastery of brokerage operations.
• ensure teams you lead deliver a positive Service 1st experience by monitoring interactions with clients and utilizing metrics to manage workflows.
• be the primary point of contact for onboarding new Associates and provide ongoing training to refine client interactions.
• confirm day-to-day call center staffing is adequate to respond to call volumes.
• manage your team in accordance with Raymond James’ Human Resources policies and procedures.
• partner with other home office departments to resolve client account issues and improve operational processes.
• respond to and resolve escalated situations.
• serve as an additional resource in the call center during high call volumes.
• execute client-directed trades across various product types (equities, mutual funds, options, fixed income, and alternative investments).
• reach out to clients to address important account matters and conduct routine follow up as needed.
• handle client-directed transactions such as ACH transfers, wire transactions, and journal requests regularly.
• manage a diverse range of accounts, including trust, estate, and entity accounts.
• maintain a high level of integrity and adhere to Raymond James' Code of Business Conduct & Ethics.
• work with branch and firm resources to mitigate risks.
• provide regular updates to senior management regarding team performance and challenges.
• develop and Document branch processes into Standard Operating Procedures.

• 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.

Demonstrates strong leadership and supervisory skills in financial services, ensuring a Service 1st client experience while managing team performance and operational processes. Proficient in executing client-directed transactions and adhering to compliance standards.

• Leadership Experience
• Client Experience Management
• Financial Services Operations
• Series 7 Certification
• SIE Certification

• Client-Directed Trades
• Transaction Management
• Operational Process Improvement
• Metrics Utilization
• Standard Operating Procedures Development

• Team Leadership
• Conflict Resolution
• Communication Skills
• Training and Development
• Integrity

• SIE
• Series 7
• Series 63
• Series 65
• Series 66

• Brokerage Operations
• Call Center Management
• Client Account Management
• Risk Mitigation
• Code of Business Conduct & Ethics