Supervisor, Operations | Advisory & Managed New Accounts (SMA/UMA Team)
Job Description - Supervisor, Operations Advisory & Managed New Accounts (SMA/UMA Team) (2401522) Job Description Supervisor, Operations Advisory & Managed New Accounts (SMA/UMA Team) - 2401522 Description Hybrid Work Environment:
40% in-office and up to 60% work-from-home, if desired. Must live within commutable distance from our home office. Job SummaryProvides 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 Responsibilitieso Partners with cross site peers and managers to establishes performance goals for department; collaborates with and directs associates to meet or exceed these goalso Acts as an information source for associates and ensures training and development occurso Plans, assigns, monitors, reviews, evaluates and leads the work of associateso Oversees team morale and plans for appropriate team building activities and rewards and recognitiono Handles performance management including career development and progressive discipline of direct reportso Interviews and hires associates who possess the core competencies of the position to strengthen the department and mitigate turnovero 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.o Establishes internal or external partnership opportunities, through analysis of business needs and relationships that may enhance successo Ensures appropriate documentation and departmental tools are created and/or maintained (job procedures, job aids, forms, training material, etc)o Facilitates the implementation and acceptance of organizational change; addresses resistance to change and helps individuals adapto Takes decisive action when necessary and conveys a sense of urgency to deliver resultso Interprets and applies organizational policies and procedureso 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 siteso Adheres to annual budgets in line with organizational goals and objectives and makes adjustments when necessaryo Effectively implements system changes and identifies and manages impacts to team and advisors Qualifications Knowledge, Skills, and AbilitiesKnowledge ofo Investment concepts, practices and procedures used in the securities industryo Financial markets and productsSkill ino Interpreting and applying policies and procedureso Establishing operational objectiveso Implementing processes and procedures for efficient and timely work flowo Promoting effective coordination between work groupso Preparing operational budgetsAbility too Learn the concepts, principles and practices of assigned functional areao Plan, assign, monitor, review, evaluate and supervise the work of otherso Coach and mentor otherso Identify training needs and develop subordinateso Balance conflicting resource and priority demandso Partner with other functional areas to accomplish objectiveso Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressedo Incorporate needs, wants and goals from different business unit perspectives into operational processeso Communicate effectively, both orally and in writingo Work independently as well as collaboratively within a team environmento Lead others in providing a high level of customer serviceo Establish and maintain effective working relationships at all levels of the organizationEducational/Previous Experience RequirementsEducation/Previous Experienceo Bachelor's degree in a related field or an equivalent combination of education and work experience.o 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/Certificationso SIE required provided that an exemption or grandfathering cannot be applied.o Series 99, or ability to obtain within 120 days (as required by FINRA) required. 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:
o Grow professionally and inspire others to do the same o Work with and through others to achieve desired outcomes o Make prompt, pragmatic choices and act with the client in mind o Take ownership and hold themselves and others accountable for delivering results that matter o Contribute to the continuous evolution of the firm At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. Raymond James & Associates, Inc., member / , and Raymond James Financial Services, Inc., member / , are subsidiaries of Raymond James Financial, Inc.New York Stock Exchange SIPC FINRA SIPC Raymond James and Raymond James Financial are registered trademarks of Raymond James Financial, Inc. #J-18808-Ljbffr Recommended Skills Business Requirements Capital Markets Coaching And Mentoring Communication Customer Service Finance Apply to this job. Think you're the perfect candidate? Apply on company site $(document).ready( function() $(#ads-desktop-placeholder).html(
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n Estimated Salary: $20 to $28 per hour based on qualifications.
40% in-office and up to 60% work-from-home, if desired. Must live within commutable distance from our home office. Job SummaryProvides 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 Responsibilitieso Partners with cross site peers and managers to establishes performance goals for department; collaborates with and directs associates to meet or exceed these goalso Acts as an information source for associates and ensures training and development occurso Plans, assigns, monitors, reviews, evaluates and leads the work of associateso Oversees team morale and plans for appropriate team building activities and rewards and recognitiono Handles performance management including career development and progressive discipline of direct reportso Interviews and hires associates who possess the core competencies of the position to strengthen the department and mitigate turnovero 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.o Establishes internal or external partnership opportunities, through analysis of business needs and relationships that may enhance successo Ensures appropriate documentation and departmental tools are created and/or maintained (job procedures, job aids, forms, training material, etc)o Facilitates the implementation and acceptance of organizational change; addresses resistance to change and helps individuals adapto Takes decisive action when necessary and conveys a sense of urgency to deliver resultso Interprets and applies organizational policies and procedureso 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 siteso Adheres to annual budgets in line with organizational goals and objectives and makes adjustments when necessaryo Effectively implements system changes and identifies and manages impacts to team and advisors Qualifications Knowledge, Skills, and AbilitiesKnowledge ofo Investment concepts, practices and procedures used in the securities industryo Financial markets and productsSkill ino Interpreting and applying policies and procedureso Establishing operational objectiveso Implementing processes and procedures for efficient and timely work flowo Promoting effective coordination between work groupso Preparing operational budgetsAbility too Learn the concepts, principles and practices of assigned functional areao Plan, assign, monitor, review, evaluate and supervise the work of otherso Coach and mentor otherso Identify training needs and develop subordinateso Balance conflicting resource and priority demandso Partner with other functional areas to accomplish objectiveso Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressedo Incorporate needs, wants and goals from different business unit perspectives into operational processeso Communicate effectively, both orally and in writingo Work independently as well as collaboratively within a team environmento Lead others in providing a high level of customer serviceo Establish and maintain effective working relationships at all levels of the organizationEducational/Previous Experience RequirementsEducation/Previous Experienceo Bachelor's degree in a related field or an equivalent combination of education and work experience.o 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/Certificationso SIE required provided that an exemption or grandfathering cannot be applied.o Series 99, or ability to obtain within 120 days (as required by FINRA) required. 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:
o Grow professionally and inspire others to do the same o Work with and through others to achieve desired outcomes o Make prompt, pragmatic choices and act with the client in mind o Take ownership and hold themselves and others accountable for delivering results that matter o Contribute to the continuous evolution of the firm At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. Raymond James & Associates, Inc., member / , and Raymond James Financial Services, Inc., member / , are subsidiaries of Raymond James Financial, Inc.New York Stock Exchange SIPC FINRA SIPC Raymond James and Raymond James Financial are registered trademarks of Raymond James Financial, Inc. #J-18808-Ljbffr Recommended Skills Business Requirements Capital Markets Coaching And Mentoring Communication Customer Service Finance Apply to this job. Think you're the perfect candidate? Apply on company site $(document).ready( function() $(#ads-desktop-placeholder).html(
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n Estimated Salary: $20 to $28 per hour based on qualifications.
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