Supervisor, Operations | Account Transfers Dept.

Raymond James•Memphis, FL

22h•Hybrid

About The Position

We’re looking for a strong people leader to supervise our Account Transfers team within Operations. This role provides daily direction and support, implements business plans, and ensures compliance with policies and procedures. The supervisor will manage productivity and service levels, lead process improvement initiatives, and collaborate with internal and external partners to resolve issues. A broad understanding of operational functions and a passion for coaching, development, and performance management are essential to drive team success and deliver high-quality results. This position follows our hybrid-friendly schedule, so you get the best of both worlds – flexibility and collaboration. In office days will be 3 per week averaging 12 days per month in one of the following locations: St. Petersburg, FL or Memphis, TN. Onsite Training Requirement: First 60 days required to be onsite Monday-Thursday.

Requirements

Knowledge of: Investment concepts, practices and procedures used in the securities industry.
Financial markets and products.
Skills: Uses comprehensive knowledge and skills to work independently while providing guidance and training to others on planning, organizing, prioritizing and overseeing activities to efficiently meet business objectives.
Uses comprehensive knowledge and skills to work independently while providing guidance and training to others on developing appropriate plans or performing necessary actions based on recommendations and requirements.
Works without supervision and provides technical guidance when required on developing, monitoring, interpreting and understanding policies and procedures, while making sure they match organizational strategies and objectives.
Applies comprehensive knowledge to act independently while providing guidance and training to others on using clear and effective verbal communications skills to express ideas, request actions and formulate plans or policies.
Works without supervision and provides technical guidance when required on interpreting and applying knowledge of laws, regulations and policies in area of expertise.
Works without supervision and provides technical guidance when required on analyzing data trends for use in reports to help guide decision making.
Works without supervision and provides technical guidance when required on reviewing and creating relevant, lucid and effective reports.
Identifies, assesses, prioritizes and manages risks without supervision and provides technical guidance when required.
Works independently using comprehensive knowledge and skills while guiding and training others on meeting high customer service standards.
Applies comprehensive knowledge and/or skills to independently engage in strategic planning.
Works with full competence to shift into and out of a mental mindsets associated with assessing the facts and circumstances of the current situation and/or environment and making the appropriate/innovative adjustments to thinking and work habits to thrive in any scenario.
Typically works without supervision and may provide technical guidance.
Manages and applies safe systems of work without supervision and provides technical guidance when required.
Negotiates without supervision and provides technical guidance when required on how to help the organization by obtaining consensus between two or more internal or external parties who may have different interests.
Works without supervision while providing technical guidance when required on managing projects and/or programs within desired cost, time and quality parameters.
Works with full competence to orient work in a workflow to plan, organize, and execute the steps it takes to achieve a goal to achieve higher efficiencies.
Typically works without supervision and may provide technical guidance.
Licenses/Certifications SIE required or ability to obtain within 120 days (as required by FINRA), provided that an exemption or grandfathering cannot be applied.
Series 99 required, or ability to obtain within 120 days (as required by FINRA). 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.
Education Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance, High School (HS) (Required)
Work Experience General Experience - 3 to 6 years, Manager Experience - 13 months to 3 years
Certifications OS - Operations Professional - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Responsibilities

Supervise others working within established operational systems.
Contribute to the development of annual and longer-term business plans; forecast performance against business key performance indicators (KPIs); develop business cases for key activities/projects; and estimate the financial and human resources required to deliver performance targets.
Communicate the local action plan; explain how this relates to the function's strategy and action plan and to the broader organization's mission and vision; motivate people to achieve local business goals.
Develop and propose own performance objectives; take appropriate actions to ensure achievement of agreed objectives, using the organization's performance management systems to improve personal performance. Or manage and report on team performance; set appropriate performance objectives for direct reports or project/account team members and hold people accountable for achieving them, taking appropriate corrective action where necessary to ensure the achievement of team/personal objectives.
Supervise a team providing administrative and service operations support and have deep expertise in the service operations provided by that team.
Develop short- or medium-term work schedules in order to achieve planned commitments.
Approve overtime or use additional resources as needed.
Identify shortcomings in existing processes, systems, and procedures, and use established change management programs to address them.
Work within established procedures to achieve specified goals.
Advise managers how to apply a wide variety of existing procedures and precedents.
Help others get the most out of internal communications systems by offering support and advice.
Keep track of risk parameters, identifying any deviations and reporting them to more senior colleagues. Involves working within established risk management systems.
Track budgets and report variances to more senior colleagues.
Provide coaching to team members to develop their skills.
Identify, 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.