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Description

Job Summary

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.

Remote, Able to Work From Home.

Essential Duties and Responsibilities

• Supervisory Skills: Demonstrate well-rounded leadership qualities and supervisory skills coupled with a mastery of brokerage operations.

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

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

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

• Human Resources : Manage your team in accordance with Raymond James’ Human Resources policies and procedures.

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

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

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

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

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

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

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

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

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

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

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

Qualifications

Knowledge, Skills, and Abilities:

Knowledge of:

• Human Resources: understanding how to interpret and apply Raymond James’ Human Resources policies to the team you manage.

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

• 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.

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

• 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 are 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.

Licenses/Certifications

• SIE required provided that an exemption or grandfathering cannot be applied.

• Series 7 and 63/65 or 66 Required.

• Series 9, 10 and 24 preferred.

Job: Operations

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Organization Private Client Group

Schedule Full-time

Job Shift Day Job

Travel Yes, 10 % of the Time

Req ID: 2402568