Supervisor, Operations | Retirement Plan Services | Southfield, MI

Raymond James; Southfield (MI); Hybrid; USD 100,000 - 130,000; Full time

Benefits offered by this job

Benefits package

Job summary

Raymond James is seeking a strong people leader to supervise our Retirement Plan Services team in a hybrid role at our Southfield, MI office. You will provide daily direction, set performance goals, and ensure service excellence, productivity, and compliance with policies and regulatory requirements for IRAs and qualified plans.

You will coach and develop team members, drive process improvements, and collaborate with internal teams and advisors to resolve complex issues while maintaining

Qualifications

• General Experience - 3 to 6 years; Manager Experience - 13 months to 3 years
• Proven ability to supervise and develop a team
• Knowledge of IRS and DOL rules for IRAs and qualified plans

Responsibilities

• Set performance goals and direct associates to meet them
• Coach and develop team members and manage performance
• Lead training initiatives and organize onsite/offsite sessions
• Oversee compliance with regulatory requirements and internal policies
• Partner with stakeholders to resolve complex issues and improve processes
• Monitor KPIs and budget while forecasting resources

Skills

People leadership

Performance management

Training & development

Regulatory compliance

IRAs & retirement plans

Cross-team collaboration

Process improvement

Risk management

Education

Bachelor's degree in Finance or related field

High School diploma

Job description

Job Description Summary

We’re looking for a strong people leader to supervise our Retirement Plan Services team, delivering high-quality administrative and operational support for retirement accounts, including IRAs and qualified plans. This role provides daily direction, sets clear performance goals, and ensures service excellence, productivity, and compliance with policies and regulatory requirements. The supervisor collaborates across internal teams and with key stakeholders to resolve complex issues, enhance processes, and support business objectives, while serving as a subject‑matter expert on retirement plan regulations. They will coach and develop team members, manage performance, and lead process‑improvement initiatives to drive efficiency and consistently deliver high‑quality results in a fast‑paced environment.

Hybrid Schedule

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 Southfield, MI Corporate Office.

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, rewards and recognition
• Handles performance management including career development and progressive discipline of direct reports
• Interviews and hires associates who possess 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, protecting the liability of the department, firm, clients and advisors
• Serves as liaison between retirement plans department and financial advisors, Raymond James Legal and Compliance departments, and associates to resolve escalated problems as needed
• Initiates 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 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; or manages and reports on team performance; sets appropriate performance objectives for direct reports or project/account team members and holds people accountable for achieving them, taking corrective action where necessary
• 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 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
• Advise 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
• Tracks risk parameters, identifies deviations and reports them to more senior colleagues; works within established risk‑management systems
• 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; reports these instances and escalates issues as appropriate

Knowledge

• 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, particularly when the decisions negatively impact the end‑clients
• 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 and recommending solutions to problems and procedural changes
• Working under pressure on multiple tasks concurrently and meeting deadlines in a fast‑paced work environment with frequent interruptions and changing priorities
• Providing guidance and training to others on planning, organizing, prioritizing and overseeing activities to efficiently meet business objectives
• Providing technical guidance when required on developing, monitoring, interpreting and understanding policies and procedures, while ensuring they align with organizational strategies and objectives
• Applying comprehensive knowledge while guiding others on using clear and effective verbal communication to express ideas, request actions and formulate plans or policies
• Providing technical guidance on interpreting and applying knowledge of laws, regulations and policies in the area of expertise
• Providing technical guidance on analyzing data trends for use in reports to guide decision making
• Providing technical guidance on reviewing and creating relevant, lucid and effective reports
• Identifying, assessing, prioritizing and managing risks and providing technical guidance when required
• Using comprehensive knowledge and skills while guiding others on meeting high customer service standards
• Independently engaging in strategic planning
• Switching into and out of mental mindsets associated with assessing facts and circumstances of the current situation and/or environment and making appropriate, innovative adjustments to thinking and work habits to thrive in any scenario
• Managing and applying safe work systems and providing technical guidance when required
• Negotiating and providing technical guidance on how to help the organization by obtaining consensus between parties with different interests
• Providing technical guidance on managing projects and/or programs within desired cost, time and quality parameters
• Planning, organizing, and executing steps to achieve higher efficiencies

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

Bachelor’s: Finance, 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) - FINRA

Travel

Less than 25%

Workstyle

Hybrid

Benefits

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.

Our Expectations at All Levels

• 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.