Vice President, Operations | Non-Financial Regulatory Reporting
: Job Details :


Vice President, Operations | Non-Financial Regulatory Reporting

Raymond James Financial

Location: Memphis,TN, USA

Date: 2024-12-14T08:34:40Z

Job Description:

**Description**

**_This position will follow our hybrid work model; we expect the selected candidate to work 3-days a week at one of our corporate home offices, which are located in St. Petersburg, FL, Memphis, TN and Southfield, MI._**

**Job Summary:**

Under administrative direction, uses extensive knowledge and skills obtained through education and experience to oversee one or more sub-departments within Operations. Leads large projects, programs or processes with significant business impact involving cross-functional teams. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Extensive contact with Senior Management is required, to provide comprehensive solutions to complex problems or needs.

**Essential Duties and Responsibilities:**

+ Plans, assigns, monitors, reviews, evaluates and leads the work of subordinate managers and supervisors.

+ Performs human resource management activities, including coaching and mentoring subordinates within a performance management culture.

+ Coaches and mentors subordinates, identifies training needs, and creates development plans.

+ Interprets, applies and recommends changes to organizational policies and procedures.

+ Collaborates with private client group management to identify and implement solutions.

+ Monitors regulatory compliance with internal and external groups including auditors, FINRA, IRS, SEC and others.

+ Establishes objectives with a sense of urgency and develops processes and procedures to ensure efficient and timely work flow.

+ Works with product managers and information technology groups to create system requirements that will facilitate processes; moves projects through to implementation.

+ Performs periodic reporting on work progress, project completions and additional ad-hoc reporting as required.

+ Maintains regular contact with senior manager and other internal customers to identify, research, and resolve issues.

+ Ensures effective coordination occurs between assigned functional area(s) and other areas.

+ Identifies trends and implements corrective action as necessary.

+ Uses financial data and performance indicators to establish control mechanisms and other improvement initiatives.

+ Develop and administer policies, procedures, and budget for the department. Ensure policies and procedures are interpreted and carried out properly.

+ May manage multiple departmental budgets.

+ Performs other duties and responsibilities as assigned.

**Qualifications**

**Knowledge, Skills, and Abilities:**

**Knowledge of:**

+ Company's working structure, policies, mission, and strategies.

+ Project management methodology sufficient to act in a sponsorship role.

+ Principles of finance and securities industry operations.

+ Financial markets and products.

+ Performance management.

**Skill in:**

+ Preparing operational budgets.

+ Interpreting and applying policies and procedures.

+ Establishing operational objectives.

+ Implementing processes and procedures for efficient and timely work flow.

+ Preparing management reports.

+ Promoting effective coordination between work groups.

**Ability to:**

+ 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.

+ Maintain currency in assigned area of responsibility.

+ 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.

+ Read, interpret, analyze and apply information from job-related publications.

+ Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes.

+ Interpret and apply policies.

+ Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

+ 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 (B.A.) in finance, business administration or related field and eight (8) years experience in financial services, including five (5) years in a management position.

OR ~

+ Any equivalent combination of experience, education, and/or training approved by Human Resources.

**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),_ **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.)_

**Job:** Operations

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

**Other Locations:** US-TN-Memphis-Memphis, US-MI-Southfield-Southfield

**Organization** Operations & Administration

**Schedule** Full-time

**Job Shift** Day Job

**Travel** Yes, 20 % of the Time

**Req ID:** 2402993

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