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Investment Central, a specialized department at the Raymond James home office, provides exceptional service to Raymond James’ clients. Although we operate as a home office department, our approach mirrors that of most Raymond James branches. As a licensed Supervisor, you will lead a specialized team tasked with processing inheritance claims for clients who have passed, while delivering a Service 1st client experience. Your responsibilities include supervisory skills, client experience management, training, staffing, collaboration, and more.

Essential Duties and Responsibilities

+ **Supervisory Skills:** Demonstrate well-rounded leadership qualities and supervisory skills coupled with a mastery of brokerage operations.

+ **Client Experience:** Ensure teams you lead deliver a positive Service 1st experience by monitoring interactions with clients and utilizing metrics to manage workflows.

+ **Training and Education** : Be the primary point of contact for onboarding new Associates and provide ongoing training to refine client interactions.

+ **Staffing** : Confirm day-to-day call center staffing is adequate to respond to call volumes.

+ **Human Resources** : Manage your team in accordance with Raymond James’ Human Resources policies and procedures.

+ **Collaboration:** Partner with other home office departments to resolve client account issues and improve operational processes.

+ **Escalation Point of Contact:** Respond to and resolve escalated situations.

+ **Inbound Calls:** Serve as an additional resource in the call center during high call volumes.

+ **Trade Execution:** Execute client-directed trades across various product types (equities, mutual funds, options, fixed income, and alternative investments).

+ **Proactive Communication:** Reach out to clients to address important account matters and conduct routine follow-up as needed.

+ **Transaction Processing:** Handle client-directed transactions such as ACH transfers, wire transactions, and journal requests regularly.

+ **Account Management:** Manage a diverse range of accounts, including trust, estate, and entity accounts.

+ **Ethics & Compliance:** Maintain a high level of integrity and adhere to Raymond James' Code of Business Conduct & Ethics.

+ **Risk Mitigation:** Work with branch and firm resources to mitigate risks.

+ **Progress Reporting: Provide** regular updates to senior management regarding team performance and challenges.

+ **Process Documentation:** Develop and Document branch processes into Standard Operating Procedures.

Knowledge of:

+ **Human Resources:** understanding how to interpret and apply Raymond James’ Human Resources policies to the team you manage.

+ **Inheritance Case processing:** Familiarity and knowledge of industry inheritance practices and ability to adapt Raymond James’ policies

+ **Call Center Best Practices:** including how to handle difficult calls, proper call authentication procedures, and etiquette.

+ **Multiple Account Types:** including but not limited to standard individual and joint accounts, trust accounts, estate accounts, qualified accounts, beneficiary IRAs, entity accounts, usufruct accounts, 529 accounts, etc.

+ **Securities Trading:** Advanced knowledge of trading stocks, options, mutual funds, bonds, fixed income investments, UITs, Closed End Funds, and a familiarity of alternative investments.

Skill in:

+ Interpreting and applying policies and procedures

+ Establishing operational objectives

+ Implementing processes and procedures for efficient and timely workflow

+ Promoting effective coordination between work groups

+ Preparing operational budgets

Ability to:

+ Learn the concepts, principles and practices of 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 that all viewpoints, ideas and problems are addressed

+ Incorporate needs, wants and goals from different business unit perspectives into operational processes

+ 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

Educational Experience:

+ Bachelor's degree in a related field or an equivalent combination of education and work experience.

+ Three (3) or more years’ experience in financial services / operations including one (1) year as team lead or leadership experience in a financial or service organization.

Licenses/Certifications

+ SIE required provided that an exemption or grandfathering cannot be applied.

+ Series 7 and 63/65 or 66 Required.

+ Series 9 & 10 preferred