Location: Saint Petersburg,FL, USA
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.
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.
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.