Supervisor, Operations - AMS Trading

100 Raymond James & Associates, Inc.; Memphis (TN); Hybrid; USD 85,000 - 115,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

Life insurance

Critical illness insurance

Disability benefits

Retirement savings

Paid time off

Parental leave

Job summary

Raymond James is seeking a senior operations leader to manage the AMS UMA Trading Operations group in a hybrid Memphis-based role. The position involves directing daily activities, developing staff, and ensuring efficient workflows across multiple sites.

The ideal candidate will have 3 to 6 years of general experience, 13 months to 3 years of manager experience, and a Securities Industry Essentials (SIE) certification.

Qualifications

• Bachelor’s degree or higher required.
• SIE certification by FINRA required.
• Experience in asset management or trading operations preferred.
• Hybrid work model with 50% office/50% home work arrangement.

Responsibilities

• Oversee day-to-day AMS UMA Trading Operations.
• Set performance goals with cross-site peers.
• Lead coaching, development, and performance management.
• Plan, assign, monitor, and review staff work.
• Ensure training and documentation are maintained.
• Collaborate with other supervisors across sites.
• Align workflows to service delivery, compliance, and risk.

Skills

Managed accounts

Trading operations

People leadership

Coaching & development

Performance management

Cross-site collaboration

Policy interpretation

Process improvement

Operational planning

Communication (oral & written)

Education

Bachelor's degree

High School diploma

Job description

Job Description Summary

Manages professionals from entry-level to specialist and expert in the field of Asset Management.

This position will follow our hybrid work model; we expect the selected candidate to work 50% of the days a month at home and 50% of the days in the office at our Memphis, TN, corporate office. Provides direction, leadership, and support for AMS UMA Trading Operations. Implements business plans and ensures policies and procedures are followed. May be accountable for various projects to improve efficiency and drive productivity and quality within their area. Individuals at this level should have a broad understanding of the different areas of Trading and Operations. Contact with internal and external customers will be required to identify, research, analyze, and resolve issues. Monitors productivity and service levels—strong people leader who provides coaching, development, and performance management.

Responsibilities

• Oversee and manage day-to-day operations of AMS UMA Trading Operations group.
• 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 associates' work.
• 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.
• 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.
• Ensures appropriate documentation and departmental tools are created and/or maintained (job procedures, job aids, forms, training material, etc).
• 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; this often occurs across multiple sites.
• Overlay accounts to pre-defined single and multi-sleeve trading models and execute trades based on product guidelines.
• Participate in the best execution review panel for covered accounts.
• Plan, implement, and execute periodic large-scale rebalances for various managed platforms.

Skills

• General knowledge of managed account practices.
• Model-based portfolios and their implementation.
• Investment concepts, practices, and procedures used in the securities industry.
• Market trading practices of products, including equities, ETFs, UCITs, ADRs, and mutual funds.
• Create and execute large block trade allocations, determining the best method of execution.
• Managing workflow and priorities in a fast-paced environment.
• Establishing operational objectives.
• Implement processes and procedures for efficient and timely workflow.
• Promote effective coordination between work groups.
• Interpreting and applying policies and procedures.
• 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 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.

Education

• Bachelor’s
• High School (HS) (Required)

Work Experience

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

Certifications

• Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

• Less than 25%

Workstyle

• Hybrid

Compensation

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.

Benefits

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.

• medical
• dental
• vision
• life insurance
• critical illness insurance and accident insurance
• disability benefits
• retirement savings
• paid time off (including vacation, holidays, and sick leave)
• parental leave

Company Culture

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 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.

Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF.

Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.