Raymond James
Supervisor, Operations | Retirement Plan Services
Raymond James, St. Petersburg, Florida, United States, 33739
Supervisor, Operations Retirement Plan Services
Apply locations: Saint Petersburg, Florida - United States; Southfield, Michigan - United States; Memphis, Tennessee - United States
Time type: Full time
Posted on: Posted 30+ Days Ago
Job requisition id: R-0002315
Job Description
Hybrid Work Environment:
This position follows our hybrid-friendly schedule, so you get the best of both worlds – flexibility and collaboration. In office days will be 3 per week averaging 12 days per month in one of the following Corporate Offices: St Petersburg, FL; Memphis, TN; Southfield, MI. Responsibilities: Partners with cross-site peers and managers to establish performance goals for the department; collaborates with and directs associates to meet or exceed these goals. Acts as an information source for associates and ensures training and development occurs. Plans, assigns, monitors, reviews, evaluates, and leads the work of associates. Oversees team morale and plans for appropriate team building activities and rewards and recognition. Handles performance management including career development and progressive discipline of direct reports. Interviews and hires associates who possess the core competencies of the position to strengthen the department and mitigate turnover. Serves as a knowledge resource for internal and external associates with respect to IRAs and other retirement plan issues. Keeps current on legislative and regulatory changes impacting retirement products or accounts and initiates appropriate actions to minimize regulatory exposure and risk. Serves as liaison between retirement plans department and financial advisors, Legal and Compliance departments, and associates to resolve escalated problems as needed. Initiates the evaluation of current processes and systems to recommend productivity and efficiency enhancements; performs operational testing of system enhancements for accuracy and usability; trains users on new systems. Organizes and schedules both onsite and offsite training activities to help drive high quality service and performance. Prepares training materials, or assists others with preparing training materials. Supervises others working within established operational systems. Contributes to the development of annual and longer-term business plans; forecasts performance against business key performance indicators (KPIs); develops business cases for key activities/projects; estimates the financial and human resources required to deliver performance targets. Communicates the local action plan; explains how this relates to the function's strategy and action plan and to the broader organization's mission and vision; motivates people to achieve local business goals. Develops and proposes own performance objectives; takes appropriate actions to ensure achievement of agreed objectives, using the organization's performance management systems to improve personal performance. Supervises a team providing administrative and service operations support and has deep expertise in the service operations provided by that team. Develops short- or medium-term work schedules in order to achieve planned commitments. Approves overtime or uses additional resources as needed. Identifies shortcomings in existing processes, systems, and procedures, and uses established change management programs to address them. Works within established procedures to achieve specified goals. Advises managers how to apply a wide variety of existing procedures and precedents. Helps others get the most out of internal communications systems by offering support and advice. Keeps track of risk parameters, identifying any deviations and reporting them to more senior colleagues. Tracks budgets and reports variances to more senior colleagues. Provides coaching to team members to develop their skills. Identifies instances of noncompliance with the organization's policies and procedures and/or relevant regulatory codes and codes of conduct, reporting these instances and escalating issues as appropriate. Knowledge of: Rules and regulations of the IRS and DOL pertaining to IRAs and qualified plans. Fundamental financial planning and investment concepts, practices, and procedures used in the securities industry. Investment concepts, practices, and procedures used in the securities industry. Financial markets and products. Skills: Interpreting policies and conveying decisions diplomatically to advisors and support staff. Providing support and guidance for retirement plan efforts. Reviewing materials for compliance with rules and regulations. Gathering information and preparing oral and written reports. Making rule-based and analytical decisions. Interpreting and applying retirement plan regulations. Working under pressure on multiple tasks concurrently and meeting deadlines. Providing guidance and training to others on planning, organizing, prioritizing, and overseeing activities. Applying comprehensive knowledge while providing guidance and training to others on effective communication skills. Managing projects and/or programs within desired cost, time, and quality parameters. Education: Bachelor’s: Finance, High School (HS) Work Experience: Manager Experience - 13 months to 3 years Certifications: Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 99_OS-Operations Professional - Financial Industry Regulatory Authority (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 all employment decisions on the basis of merit and business needs.
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Hybrid Work Environment:
This position follows our hybrid-friendly schedule, so you get the best of both worlds – flexibility and collaboration. In office days will be 3 per week averaging 12 days per month in one of the following Corporate Offices: St Petersburg, FL; Memphis, TN; Southfield, MI. Responsibilities: Partners with cross-site peers and managers to establish performance goals for the department; collaborates with and directs associates to meet or exceed these goals. Acts as an information source for associates and ensures training and development occurs. Plans, assigns, monitors, reviews, evaluates, and leads the work of associates. Oversees team morale and plans for appropriate team building activities and rewards and recognition. Handles performance management including career development and progressive discipline of direct reports. Interviews and hires associates who possess the core competencies of the position to strengthen the department and mitigate turnover. Serves as a knowledge resource for internal and external associates with respect to IRAs and other retirement plan issues. Keeps current on legislative and regulatory changes impacting retirement products or accounts and initiates appropriate actions to minimize regulatory exposure and risk. Serves as liaison between retirement plans department and financial advisors, Legal and Compliance departments, and associates to resolve escalated problems as needed. Initiates the evaluation of current processes and systems to recommend productivity and efficiency enhancements; performs operational testing of system enhancements for accuracy and usability; trains users on new systems. Organizes and schedules both onsite and offsite training activities to help drive high quality service and performance. Prepares training materials, or assists others with preparing training materials. Supervises others working within established operational systems. Contributes to the development of annual and longer-term business plans; forecasts performance against business key performance indicators (KPIs); develops business cases for key activities/projects; estimates the financial and human resources required to deliver performance targets. Communicates the local action plan; explains how this relates to the function's strategy and action plan and to the broader organization's mission and vision; motivates people to achieve local business goals. Develops and proposes own performance objectives; takes appropriate actions to ensure achievement of agreed objectives, using the organization's performance management systems to improve personal performance. Supervises a team providing administrative and service operations support and has deep expertise in the service operations provided by that team. Develops short- or medium-term work schedules in order to achieve planned commitments. Approves overtime or uses additional resources as needed. Identifies shortcomings in existing processes, systems, and procedures, and uses established change management programs to address them. Works within established procedures to achieve specified goals. Advises managers how to apply a wide variety of existing procedures and precedents. Helps others get the most out of internal communications systems by offering support and advice. Keeps track of risk parameters, identifying any deviations and reporting them to more senior colleagues. Tracks budgets and reports variances to more senior colleagues. Provides coaching to team members to develop their skills. Identifies instances of noncompliance with the organization's policies and procedures and/or relevant regulatory codes and codes of conduct, reporting these instances and escalating issues as appropriate. Knowledge of: Rules and regulations of the IRS and DOL pertaining to IRAs and qualified plans. Fundamental financial planning and investment concepts, practices, and procedures used in the securities industry. Investment concepts, practices, and procedures used in the securities industry. Financial markets and products. Skills: Interpreting policies and conveying decisions diplomatically to advisors and support staff. Providing support and guidance for retirement plan efforts. Reviewing materials for compliance with rules and regulations. Gathering information and preparing oral and written reports. Making rule-based and analytical decisions. Interpreting and applying retirement plan regulations. Working under pressure on multiple tasks concurrently and meeting deadlines. Providing guidance and training to others on planning, organizing, prioritizing, and overseeing activities. Applying comprehensive knowledge while providing guidance and training to others on effective communication skills. Managing projects and/or programs within desired cost, time, and quality parameters. Education: Bachelor’s: Finance, High School (HS) Work Experience: Manager Experience - 13 months to 3 years Certifications: Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 99_OS-Operations Professional - Financial Industry Regulatory Authority (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 all employment decisions on the basis of merit and business needs.
#J-18808-Ljbffr