Operations Supervisor

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 our Memphis, TN Corporate Office. Role Overview Raymond James is seeking an experienced operations supervisor to lead teams supporting Advisory and Managed New Account processing within a fast-paced financial services environment. The ideal candidate will bring strong operational leadership experience along with a deep understanding of investment products, managed accounts, and account onboarding processes. This role is best suited for a candidate who has demonstrated success supervising operations teams supporting investment advisory products, separately managed accounts (SMAs), unified managed accounts (UMAs), fee-based advisory platforms, or related wealth management products. The candidate should possess strong risk awareness, regulatory knowledge, and the ability to drive operational excellence while supporting advisors and delivering high-quality client experiences. Responsibilities Supervise others working within established operational systems. Lead a team supporting Advisory and Managed New Account operations, ensuring accurate and timely processing of investment account documentation and onboarding activities. Utilize knowledge of investment products, advisory platforms, brokerage operations, and managed account processes to support operational effectiveness and mitigate risk. Contribute to the development of annual and longer-term business plans; forecast performance against key business performance indicators (KPIs); develop business cases for key activities/projects; and estimate the financial and human resources required to deliver performance targets. Communicate the local action plan; explain how this relates to the function's strategy and action plan and to the broader organization's mission and vision; motivate people to achieve local business goals. Develop and propose own performance objectives; take appropriate actions to ensure achievement of agreed objectives, using the organization's performance management systems to improve personal performance. Or manage and report on team performance; set appropriate performance objectives for direct reports or project/account team members and hold people accountable for achieving them, taking appropriate corrective action where necessary to ensure the achievement of team/personal objectives. Supervise a team providing administrative and service operations support and maintain deep expertise in the service operations provided by that team. Develop short- or medium-term work schedules in order to achieve planned commitments. Approve overtime or use additional resources as needed. Identify shortcomings in existing processes, systems, and procedures, and use established change management programs to address them. Work within established procedures to achieve specified goals. Ensure operational activities align with applicable FINRA, SEC, and internal compliance requirements related to investment and advisory account operations. Provide coaching to team members to develop their skills. Identify, within the team, 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. Experience Prior supervisory or team leadership experience within brokerage operations, advisory operations, managed accounts, or wealth management operations. Experience supporting investment products and advisory account platforms, including managed accounts, fee-based advisory programs, and brokerage account onboarding. Strong understanding of operational risk, account controls, client onboarding, suitability considerations, and regulatory requirements associated with investment account processing. Ability to partner effectively with advisors, compliance, risk, and operational stakeholders in a highly regulated financial services environment. Skills Strong leadership, organizational, and team development skills with the ability to prioritize and oversee operational activities to meet business objectives. Demonstrated knowledge of investment operations, advisory platforms, managed account processing, and wealth management onboarding functions. Ability to interpret and apply FINRA, SEC, and internal regulatory policies and procedures within a highly regulated financial services environment. Strong analytical and problem-solving skills with the ability to identify operational risks, process gaps, and opportunities for improvement. Effective verbal and written communication skills with the ability to provide guidance, coaching, and technical direction to team members and business partners. Experience analyzing operational data and performance metrics to support reporting and business decision-making. Ability to manage competing priorities, adapt to changing business needs, and drive operational efficiency in a fast-paced environment. Strong customer service mindset with the ability to support advisors, internal partners, and clients effectively. Experience managing projects, workflows, and process improvement initiatives within established timelines and quality standards. Ability to collaborate and build consensus across operations, compliance, risk, and other business stakeholders. 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. #J-18808-Ljbffr