Raymond James
Vice President, New Advisor Transitions | St. Petersburg, FL
Raymond James, St. Petersburg, Florida, United States, 33739
Vice President, New Advisor Transitions | St. Petersburg, FL
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Vice President, New Advisor Transitions | St. Petersburg, FL
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Raymond James . This position follows our hybrid-friendly schedule, with in-office days three per week (averaging 12 days per month) in our St. Petersburg, FL Corporate Office. The Vice President of Operations for the Transition Management team plays a critical leadership role in driving strategic planning, execution, and continuous improvement of operational initiatives that support the onboarding and integration of new financial advisors and their teams. This role oversees end-to-end transition processes, aligns cross-functional teams, and ensures a high-quality experience for both advisors and clients. As a key contributor to the department’s strategy, the VP of Operations will lead efforts to optimize workflows, implement scalable solutions, and enhance service delivery. This position requires a forward-thinking leader with strong operational expertise, a deep understanding of the financial services landscape, and a passion for delivering excellence in advisor support. Job Description Key Responsibilities: Strategic Planning & Execution:
Collaborate with executive leadership to align transition operations with firm-wide strategic goals. Monitor KPIs and performance metrics to assess transition success and operational effectiveness. Lead cross-functional initiatives to improve advisor onboarding and retention. Project & Change Management : Manage multiple concurrent transition projects and initiatives, ensuring timely execution and adherence to regulatory requirements. Monitor progress, track milestones, and provide regular updates to senior leadership. Compliance & Risk Management : Ensure all transition activities comply with FINRA, SEC, and internal regulatory standards. Partner with Legal and Compliance teams to mitigate risk and maintain audit readiness. Team Leadership & Development : Lead, mentor, and develop a team of managers, transition consultants, project managers, and operations specialists. Foster a culture of accountability, continuous improvement, and client-centric service. Manage staffing, training, and performance evaluations to ensure team excellence. Technology & Systems Integration : Oversee the implementation and optimization of technology platforms used in advisor transitions. Collaborate with IT and digital teams to enhance automation, data accuracy, and user experience. Evaluate new tools and systems to support operational scalability and innovation. Other Responsibilities Take overall responsibility for designing, developing, and delivering the organization's operational strategy and outcomes. Take overall responsibility for setting and approving area budgets that achieve organizational strategy. Manage and report on business performance; hold direct reports accountable for achievement of business plans, and take corrective action where necessary to ensure the achievement of business objectives, balancing short-term objectives with longer-term stakeholder value. Lead the development of annual and longer-term business plans for a significant function or small local business, ensuring alignment with strategy; quantify business outcomes (revenues or other KPIs) and resource budgets; ensure integration of key activities or projects across the organization. Set and communicate the strategy and actions needed to implement it, to achieve the organization’s mission, vision, and values within a function; inspire a large or diverse workforce to commit to these tenets and achieve business goals. Identify and manage stakeholders up to top management level, gathering needs and concerns and coordinating stakeholder engagement plans to support communication of business information and decisions. Develop the strategy for a significant area of responsibility, anticipating complex issues, challenges, and opportunities; ensure strategy is implemented to meet medium-term business needs. Represent the organization in external forums, boards, and committees to promote brand and efforts; engage with investors, clients, industry partners, and the public as appropriate for a function or department. Identify capabilities needed to meet current and emerging business needs; evaluate gaps and prioritize development activities; mentor others and build capabilities across the organization. Define the detailed organization structure for a business area to align with corporate principles and responsibilities of senior managers, enabling achievement of objectives. Participate in the development of corporate strategy for a small local organization, applying functional expertise to test viability and support strategy formation. Skills Applies expertise to act as the organizational authority on developing appropriate plans or actions based on recommendations and requirements. Plans, organizes, prioritizes, and oversees activities to efficiently meet business objectives. Operates as a subject matter authority, adapting thinking and work habits to thrive in various scenarios. Strategic planning and execution across the organization. Develops and maintains culture, values, and design to reach objectives while managing change. Develops, interprets, and enforces policies and procedures aligned with strategies and objectives. Develops and implements policies and manages projects and/or programs within cost, time, and quality parameters. Communicates clearly to express ideas, request actions, and formulate plans or policies. Develops solutions based on an understanding of the business environment and objectives. Manages costing, budgeting, and finance tasks. Negotiates to obtain consensus among internal or external parties with differing interests. Reviews and creates relevant, lucid, and effective reports. Orients work in a workflow to achieve higher efficiencies as a subject matter authority. 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. Series 7 - Not required, but highly preferred. Education High School (HS) (Required) Work Experience Manager Experience - 10 to 15 years Certifications OS - Operations Professional - FINRA, Securities Industry Essentials Exam (SIE) - FINRA Travel Less than 25% Workstyle Hybrid 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 Grow professionally and inspire others to do the same Work with and through others to achieve desired outcomes Make prompt, pragmatic choices and act with the client in mind Take ownership and hold themselves and others accountable for delivering results that matter 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. The Company is an equal opportunity employer and makes employment decisions on the basis of merit and business needs. IsExpired : false
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Join to apply for the
Vice President, New Advisor Transitions | St. Petersburg, FL
role at
Raymond James . This position follows our hybrid-friendly schedule, with in-office days three per week (averaging 12 days per month) in our St. Petersburg, FL Corporate Office. The Vice President of Operations for the Transition Management team plays a critical leadership role in driving strategic planning, execution, and continuous improvement of operational initiatives that support the onboarding and integration of new financial advisors and their teams. This role oversees end-to-end transition processes, aligns cross-functional teams, and ensures a high-quality experience for both advisors and clients. As a key contributor to the department’s strategy, the VP of Operations will lead efforts to optimize workflows, implement scalable solutions, and enhance service delivery. This position requires a forward-thinking leader with strong operational expertise, a deep understanding of the financial services landscape, and a passion for delivering excellence in advisor support. Job Description Key Responsibilities: Strategic Planning & Execution:
Collaborate with executive leadership to align transition operations with firm-wide strategic goals. Monitor KPIs and performance metrics to assess transition success and operational effectiveness. Lead cross-functional initiatives to improve advisor onboarding and retention. Project & Change Management : Manage multiple concurrent transition projects and initiatives, ensuring timely execution and adherence to regulatory requirements. Monitor progress, track milestones, and provide regular updates to senior leadership. Compliance & Risk Management : Ensure all transition activities comply with FINRA, SEC, and internal regulatory standards. Partner with Legal and Compliance teams to mitigate risk and maintain audit readiness. Team Leadership & Development : Lead, mentor, and develop a team of managers, transition consultants, project managers, and operations specialists. Foster a culture of accountability, continuous improvement, and client-centric service. Manage staffing, training, and performance evaluations to ensure team excellence. Technology & Systems Integration : Oversee the implementation and optimization of technology platforms used in advisor transitions. Collaborate with IT and digital teams to enhance automation, data accuracy, and user experience. Evaluate new tools and systems to support operational scalability and innovation. Other Responsibilities Take overall responsibility for designing, developing, and delivering the organization's operational strategy and outcomes. Take overall responsibility for setting and approving area budgets that achieve organizational strategy. Manage and report on business performance; hold direct reports accountable for achievement of business plans, and take corrective action where necessary to ensure the achievement of business objectives, balancing short-term objectives with longer-term stakeholder value. Lead the development of annual and longer-term business plans for a significant function or small local business, ensuring alignment with strategy; quantify business outcomes (revenues or other KPIs) and resource budgets; ensure integration of key activities or projects across the organization. Set and communicate the strategy and actions needed to implement it, to achieve the organization’s mission, vision, and values within a function; inspire a large or diverse workforce to commit to these tenets and achieve business goals. Identify and manage stakeholders up to top management level, gathering needs and concerns and coordinating stakeholder engagement plans to support communication of business information and decisions. Develop the strategy for a significant area of responsibility, anticipating complex issues, challenges, and opportunities; ensure strategy is implemented to meet medium-term business needs. Represent the organization in external forums, boards, and committees to promote brand and efforts; engage with investors, clients, industry partners, and the public as appropriate for a function or department. Identify capabilities needed to meet current and emerging business needs; evaluate gaps and prioritize development activities; mentor others and build capabilities across the organization. Define the detailed organization structure for a business area to align with corporate principles and responsibilities of senior managers, enabling achievement of objectives. Participate in the development of corporate strategy for a small local organization, applying functional expertise to test viability and support strategy formation. Skills Applies expertise to act as the organizational authority on developing appropriate plans or actions based on recommendations and requirements. Plans, organizes, prioritizes, and oversees activities to efficiently meet business objectives. Operates as a subject matter authority, adapting thinking and work habits to thrive in various scenarios. Strategic planning and execution across the organization. Develops and maintains culture, values, and design to reach objectives while managing change. Develops, interprets, and enforces policies and procedures aligned with strategies and objectives. Develops and implements policies and manages projects and/or programs within cost, time, and quality parameters. Communicates clearly to express ideas, request actions, and formulate plans or policies. Develops solutions based on an understanding of the business environment and objectives. Manages costing, budgeting, and finance tasks. Negotiates to obtain consensus among internal or external parties with differing interests. Reviews and creates relevant, lucid, and effective reports. Orients work in a workflow to achieve higher efficiencies as a subject matter authority. 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. Series 7 - Not required, but highly preferred. Education High School (HS) (Required) Work Experience Manager Experience - 10 to 15 years Certifications OS - Operations Professional - FINRA, Securities Industry Essentials Exam (SIE) - FINRA Travel Less than 25% Workstyle Hybrid 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 Grow professionally and inspire others to do the same Work with and through others to achieve desired outcomes Make prompt, pragmatic choices and act with the client in mind Take ownership and hold themselves and others accountable for delivering results that matter 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. The Company is an equal opportunity employer and makes employment decisions on the basis of merit and business needs. IsExpired : false
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