Job Description
This position will follow our hybrid work model; we expect the selected candidate to work 2-3 days a week at our corporate office in Memphis, TN.
Provides direction, leadership and support for the Reconciliations department within AMS Operations. Implements business plans and ensures policies and procedures are followed. May be accountable for various projects to improve efficiency, 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 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 that training and development occur.
- Plans, assigns, monitors, reviews, evaluates, and leads associates' work.
- Oversees team morale and plans for appropriate team-building activities, 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.
- Works in cooperation with peers on establishing objectives and developing processes and procedures to ensure efficient and timely workflow with special regard to service delivery, compliance, and risk factors for the firm.
- Establishes internal or external partnership opportunities through analysis of business needs and relationships that may enhance success.
- Ensures appropriate documentation and departmental tools are created and/or maintained (job procedures, job aids, forms, training material, etc).
- Facilitates the implementation and acceptance of organizational change; addresses resistance to change and helps individuals adapt.
- Takes decisive action when necessary and conveys a sense of urgency to deliver results.
- Interprets and applies organizational policies and procedures.
- 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 sites.
- Adheres to annual budgets in line with organizational goals and objectives and makes adjustments when necessary.
- Effectively implements system changes and identifies and manages impacts to the team and advisors.
Knowledge, Skills, and Abilities
Knowledge of:
- Investment concepts, practices, and procedures used in the securities industry.
- Financial markets and products.
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 the 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 into operational processes from different business unit perspectives.
- 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.
Licenses/Certifications:
- The ability to obtain the SIE and Series 99 within 120 days (as required by FINRA) is 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.
Travel Required:
Education
Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance
Work Experience
Manager Experience - 13 months to 3 years
Certifications
Securities Industry Essentials Exam (SIE) - 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. 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.
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