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Job Description

Job Summary

Experienced leader to design, implement and enhance the service experience for independent registered investment advisors and introducing broker dealers for the custodian and clearing services platform. Strategic leader who fosters a positive client relationship through proactive service approach. Design, implement and maintain service model that acts as an extension to clients of the platform. Ability to create structure and process to efficiently scale the organization while still addressing complex client needs through creative thinking for problem resolution. Collaborates with various internal business lines to effectively manage client needs while appropriately considering and managing business risk. Dynamic people manager with ability to build, motivate and retain a positive and highly functioning team.

Essential Duties and Responsibilities

+ Acts as the visionary and leader of the Service organization for the platform.

+ In conjunction with members of the leadership team, establishes, implements, and maintains operating policy for platform.

+ Serves as a member of the leadership team in developing short- and long-term goals and initiatives to achieve strategic vision.

+ Demonstrates an understanding of the broader business issues, risk considerations, and goals essential for selecting and planning new projects that improve the client experience.

+ Remains up to date with current industry, risk, regulatory and legal pronouncements that impact the business.

+ Creates and implements workflows that bring scale, efficiency, and a positive client experience.

+ Dynamic people leader that builds, engages, and retains highly effective teams by creating a nurturing team environment with growth opportunity.

Knowledge of

+ Service models and functions for a custodian and clearing platform.

+ Fundamental operating processes and practices of a custodian and clearing platform.

+ Products, process, and business structure of independent registered investment advisors and introducing broker dealers.

+ US financial regulations impacting custodian and clearing platforms.

+ Leadership, people management, driving change and business economic considerations.

+ Project planning, budgeting, and implementation.

+ Operational processes common to a custody and clearing platform.

+ Leveraging technology to service clients and scale the platform.

Skill in

+ Creating strategy to enhance the service experience of the custodian and clearing platform.

+ Analysis and forward thinking with a demonstrated track record of successfully developing and implementing strategic plans.

+ Strong project management skills with the ability to lead projects to completion in a complex, deadline-driven environment.

+ Strong verbal and written communication skills – equally effective in a formal or informal setting and various levels of the organization at conveying key information and advocating positions.

+ Cultivating and maintaining effective working relationships at all levels of the organization.

+ Creative problem solving to meet client needs while managing business scale and risk.

+ Creating and leading strong teams with a focus on talent acquisition, retention, and growth.

Ability to

+ Work directly with executives and senior leaders on critical business growth projects.

+ Lead complex and time-sensitive projects by quickly understanding context and developing a prioritized approach.

+ Create and provide timely and meaningful reporting to RJF senior management as needed.

+ Partner with other functional areas to accomplish and support firm objectives and needs.

+ Foster an engaged team culture through coaching, career mentoring and growth opportunities for team members.

+ Have detailed understanding of policy, procedures and processes while maintaining a big picture orientation.

+ Gather information, identify linkages and trends, and proactively apply findings to drive business improvements, scale, and efficiency.

+ Listen actively and demonstrate effective communication and influencing across the firm.

+ Build, engage and retain highly functional team through a nurturing environment with associate opportunity.

Education/Previous Experience

+ College degree in accounting, finance, economics, or business-related field.

+ At least 5 years of direct experience in working with independent investment advisors and introducing broker dealers or equivalent experience. Experience in a Service organization highly preferred.

Licenses/Certifications

+ Series 7 and 24. Series 9/10 considered.

+ Or ability to obtain within agreed upon time frame.

Travel Required:

+ Yes, 15 % of the Time

Education

Bachelor’s: Business Administration, Bachelor’s: Economics, Bachelor’s: Finance

Work Experience

General Experience - More than 15 years

Certifications

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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