Address
Form of workHybrid Work Environment: 40% in-office and up to 60% work-from-home, if desired. Must live within commutable distance from our home office.
Job Summary
Provides direction, leadership and support for assigned department in Operations. Implements business plans and ensures policies and procedures are followed. May be accountable for various projects to improve efficiency and drive productivity and quality within their area. Individuals at this level should have a broad understanding of the different areas of Operations. Contact with internal and external customers will be required to identify, research, analyze and resolve issues. Monitors productivity and service levels using the various reports available. Strong people leader to provide coaching, development and performance management.
Essential Duties and Responsibilities
• Partners with cross site peers and managers to establishes performance goals for department; collaborates with and directs associates to meet or exceed these goal
• Acts as an information source for associates and ensures training and development occur
• Plans, assigns, monitors, reviews, evaluates and leads the work of associate
• Oversees team morale and plans for appropriate team building activities and rewards and recognition
• Handles performance management including career development and progressive discipline of direct report
• Interviews and hires associates who possess the core competencies of the position to strengthen the department and mitigate turnover
• Works in cooperation with peers on establishing objectives and developing processes and procedures to ensure efficient and timely work flow with special regards to service delivery, compliance and risk factors for the firm.
• Establishes internal or external partnership opportunities, through analysis of business needs and relationships that may enhance succe
• Ensures appropriate documentation and departmental tools are created and/or maintained (job procedures, job aids, forms, training material, etc)
• Facilitates the implementation and acceptance of organizational change; addresses resistance to change and helps individuals adapt
• Takes decisive action when necessary and conveys a sense of urgency to deliver result
• Interprets and applies organizational policies and procedure
• Effectively collaborates with other supervisors in the same or different functional groups to accomplish assigned goals and process/policy changes; oftentimes this collaboration occurs across multiple site
• Adheres to annual budgets in line with organizational goals and objectives and makes adjustments when necessary
• Effectively implements system changes and identifies and manages impacts to team and advisor
Qualifications:
Knowledge, Skills, and Abilities
Knowledge of
• Investment concepts, practices and procedures used in the securities industry
• Financial markets and product
Skill in
• Interpreting and applying policies and procedure
• Establishing operational objective
• Implementing processes and procedures for efficient and timely work flow
• Promoting effective coordination between work group
• Preparing operational budget
Ability to
• Learn the concepts, principles and practices of assigned functional area
• Plan, assign, monitor, review, evaluate and supervise the work of other
• Coach and mentor other
• Identify training needs and develop subordinate
• Balance conflicting resource and priority demand
• Partner with other functional areas to accomplish objective
• Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed
• Incorporate needs, wants and goals from different business unit perspectives into operational processe
• 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
Education/Previous Experience
• 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.
Licenses/Certifications
• SIE required provided that an exemption or grandfathering cannot be applied.
• Series 99, or ability to obtain within 120 days (as required by FINRA) may be required depending on assigned functional area. Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination.
Raymond James Guiding Behaviors
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.
We expect our associates at all levels to:
• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcome
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm
Job Summary
Provides direction, leadership and support for assigned department in Operations. Implements business plans and ensures policies and procedures are followed. May be accountable for various projects to improve efficiency and drive productivity and quality within their area. Individuals at this level should have a broad understanding of the different areas of Operations. Contact with internal and external customers will be required to identify, research, analyze and resolve issues. Monitors productivity and service levels using the various reports available. Strong people leader to provide coaching, development and performance management.
Essential Duties and Responsibilities
• Partners with cross site peers and managers to establishes performance goals for department; collaborates with and directs associates to meet or exceed these goal
• Acts as an information source for associates and ensures training and development occur
• Plans, assigns, monitors, reviews, evaluates and leads the work of associate
• Oversees team morale and plans for appropriate team building activities and rewards and recognition
• Handles performance management including career development and progressive discipline of direct report
• Interviews and hires associates who possess the core competencies of the position to strengthen the department and mitigate turnover
• Works in cooperation with peers on establishing objectives and developing processes and procedures to ensure efficient and timely work flow with special regards to service delivery, compliance and risk factors for the firm.
• Establishes internal or external partnership opportunities, through analysis of business needs and relationships that may enhance succe
• Ensures appropriate documentation and departmental tools are created and/or maintained (job procedures, job aids, forms, training material, etc)
• Facilitates the implementation and acceptance of organizational change; addresses resistance to change and helps individuals adapt
• Takes decisive action when necessary and conveys a sense of urgency to deliver result
• Interprets and applies organizational policies and procedure
• Effectively collaborates with other supervisors in the same or different functional groups to accomplish assigned goals and process/policy changes; oftentimes this collaboration occurs across multiple site
• Adheres to annual budgets in line with organizational goals and objectives and makes adjustments when necessary
• Effectively implements system changes and identifies and manages impacts to team and advisor
Qualifications:
Knowledge, Skills, and Abilities
Knowledge of
• Investment concepts, practices and procedures used in the securities industry
• Financial markets and product
Skill in
• Interpreting and applying policies and procedure
• Establishing operational objective
• Implementing processes and procedures for efficient and timely work flow
• Promoting effective coordination between work group
• Preparing operational budget
Ability to
• Learn the concepts, principles and practices of assigned functional area
• Plan, assign, monitor, review, evaluate and supervise the work of other
• Coach and mentor other
• Identify training needs and develop subordinate
• Balance conflicting resource and priority demand
• Partner with other functional areas to accomplish objective
• Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed
• Incorporate needs, wants and goals from different business unit perspectives into operational processe
• 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
Education/Previous Experience
• 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.
Licenses/Certifications
• SIE required provided that an exemption or grandfathering cannot be applied.
• Series 99, or ability to obtain within 120 days (as required by FINRA) may be required depending on assigned functional area. Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination.
Raymond James Guiding Behaviors
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.
We expect our associates at all levels to:
• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcome
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm
