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Supervisor I - MF/ETF New Accounts - Req. 1902694


Job Summary:


Under limited supervision, uses knowledge and skills obtained through experience and training, to supervise a multi-function or more complex specialty work group. May lead defined work or projects of larger scope and complexity.  Guidance is provided to perform varied work that is difficult in character requiring some evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. May have extensive contact with internal and external customers to identify, research, and resolve problems.


Essential Duties and Responsibilities:


• Performs supervisory activities, including identifying performance problems and seeking guidance for remedial action; reviewing performance; and participating in interviewing and selecting staff. 

• Plans, assigns, monitors, reviews, evaluates and leads the work of associates operating in intermediate risk areas of the firm.

• Coaches and mentors subordinates, identifies training needs and recommends development programs.

• Assists in preparing and presenting operational budgets for assigned specialty and/or larger (intermediate) functional area.

• Interprets and applies organizational policies and procedures.

• Participates in establishing objectives and developing processes and procedures to ensure efficient and timely work flow with special regards to compliance and risk factors for the firm.

• Performs periodic reporting on work progress, project completions and additional ad-hoc reporting as needed.

• Ensures effective coordination occurs within assigned work group and with other work groups.

• Performs other duties and responsibilities as assigned.


Knowledge, Skills, and Abilities:

Knowledge of:

• Concepts, principles and practices of assigned functional area.

• Investment concepts, practices and procedures used in the securities industry.

• Principles of banking and finance and securities industry operations.

• Financial markets and products. 

Skill in:

• Preparing operational budgets. 

• Interpreting and applying policies and procedures.

• Establishing operational objectives.

• Implementing processes and procedures for efficient and timely work flow.

• Preparing management reports.

• Promoting effective coordination between work groups. 

• Operating standard office equipment and using required software applications.

Ability to:

• 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.

• Maintain currency in assigned area of responsibility.

• 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.

• Read, interpret, analyze and apply information from job-related publications.

• Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes. 

• Interpret and apply policies. 

• Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

• 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/Previous Experience Requirements:

• Bachelor’s Degree in Business Administration and a minimum of four (4)  years experience in operations, including two (2) years in a supervisory position in the in the financial services industry.


• An equivalent combination of education, experience and/or training approved by Human Resources.


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

• Series 99, or ability to obtain within 120 days 

(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.)

Raymond James Guiding Behaviors

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