Supervisor, Operations | Advisor Transitions: Account Opening Team

Raymond James; United States; Hybrid; USD 80,000 - 120,000; Full time

Benefits offered by this job

Benefits package

Hybrid work schedule

Job summary

Raymond James in St. Petersburg, FL, is seeking a Supervisor of New Advisor Transitions to lead onboarding of financial advisors and oversee the Account Openings Team. This role combines in-office collaboration with a hybrid schedule.

The ideal candidate has a strong technical aptitude, a learning mindset, and experience using Smartsheet for project coordination, reporting, and workflow automation. You will guide a team to deliver accurate, timely transitions and ensure service quality.

Qualifications

• Leadership and team supervision experience.
• Project coordination and process improvement.
• Strong communication and collaboration skills.
• Proficiency with Smartsheet is highly preferred.

Responsibilities

• Supervise a team across multiple account-opening workflows.
• Develop work schedules and allocate resources to meet commitments.
• Oversee risk management and report variances to leadership.
• Communicate action plans and align with firm strategy.
• Lead process improvements and ensure regulatory compliance.

Skills

Leadership

Team supervision

Project coordination

Communication

Risk management

Budget tracking

Remote collaboration

Education

High School Diploma or equivalent

Tools

Smartsheet

Job description

Job Description Summary

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 in our St. Petersburg, FL Corporate Office.

The Supervisor of New Advisor Transitions plays a pivotal leadership role in ensuring the seamless onboarding and integration of financial advisors into the firm. This position is responsible for managing all transition activities with precision, efficiency, and a commitment to exceptional service. A key component of the role includes direct oversight of the Account Openings Team, ensuring operational excellence and alignment with the firm’s growth objectives and advisor satisfaction goals.

Job Description

The ideal candidate will possess strong technical aptitude and a continuous learning mindset, with the ability to quickly adapt to new technologies and systems. Experience utilizing Smartsheet for project coordination, reporting, workflow automation, and process management is highly preferred.

Responsibilities

• Supervise others working within established operational systems.
• Supervise a team that operates within several different workflows for the purpose of systemically and manually opening accounts, including data collection and forms generation.
• Develop short- or medium-term work schedules in order to achieve planned commitments. Approve overtime or use additional resources as needed.
• Work within established procedures to achieve specified goals.
• 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.
• Advise managers how to apply a wide variety of existing procedures and precedents.
• Help others get the most out of internal communications systems by offering support and advice.
• Keep track of risk parameters, identifying any deviations and reporting them to more senior colleagues. Involves working within established risk management systems.
• Track budget-to-actual and report variances to more senior colleagues.
• Ensure development of skills of the managed resources to a high performing level that include remote interactions with Home Office partners and branch/office personnel that are new to the organization
• 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. Contribute to the development of annual and longer-term business plans; forecast performance against business key performance indicators (KPIs); develop business cases for key activities/projects; and estimate the financial and human resources required to deliver performance targets.
• 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.

Skills

• Uses comprehensive knowledge and skills to work independently while providing guidance and training to others on planning, organizing, prioritizing and overseeing activities to efficiently meet business objectives.
• Uses comprehensive knowledge and skills to work independently while providing guidance and training to others on developing appropriate plans or performing necessary actions based on recommendations and requirements.
• Works without supervision and provides technical guidance when required on developing, monitoring, interpreting and understanding policies and procedures, while making sure they match organizational strategies and objectives.
• Applies comprehensive knowledge to act independently while providing guidance and training to others on using clear and effective verbal communications skills to express ideas, request actions and formulate plans or policies.
• Works without supervision and provides technical guidance when required on interpreting and applying knowledge of laws, regulations and policies in area of expertise.
• Works without supervision and provides technical guidance when required on analyzing data trends for use in reports to help guide decision making.
• Works without supervision and provides technical guidance when required on reviewing and creating relevant, lucid and effective reports.
• Identifies, assesses, prioritizes and manages risks without supervision and provides technical guidance when required.
• Works independently using comprehensive knowledge and skills while guiding and training others on meeting high customer service standards.
• Applies comprehensive knowledge and/or skills to independently engage in strategic planning.
• Works with full competence to shift into and out of a mental mindsets associated with assessing the facts and circumstances of the current situation and/or environment and making the appropriate/innovative adjustments to thinking and work habits to thrive in any scenario. Typically works without supervision and may provide technical guidance.
• Manages and applies safe systems of work without supervision and provides technical guidance when required.
• Negotiates without supervision and provides technical guidance when required on how to help the organization by obtaining consensus between two or more internal or external parties who may have different interests.
• Works without supervision while providing technical guidance when required on managing projects and/or programs within desired cost, time and quality parameters.
• Works with full competence to orient work in a workflow to plan, organize, and execute the steps it takes to achieve a goal to achieve higher efficiencies. Typically works without supervision and may provide technical guidance.

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.

Education

High School (HS) (Required)

Work Experience

General Experience - 3 to 6 years, Manager Experience - 13 months to 3 years

Certifications

s99 - Operations Professional Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Less than 25%

Workstyle

Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

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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