Vice President

Job Description

This position follows our hybrid-friendly schedule, so you get the best of both worlds – flexibility and collaboration. In office days will be approx. 3 per week averaging around 12 days per month in our St. Petersburg, FL Corporate Office.

Job Summary:

The incumbent will be responsible for leading the Transition Management department which is responsible for assisting financial advisors (and their teams) transition their practices to the firm or transition between the firm’s divisions. The incumbent will use their extensive knowledge and skills obtained through education and experience to drive results by influencing strategic direction, developing tactical plans, and completing complex projects/assignments with significant business impact involving cross-functional teams. Extensive contact with Senior and Executive Management is required to provide comprehensive solutions to complex problems or needs.

Essential Duties and Responsibilities:

• Plans, assigns, monitors, reviews, evaluates, and leads the work of subordinate managers and supervisors.

• Performs human resource management activities, including coaching and mentoring subordinates within a performance management culture.

• Coaches and mentors subordinates, identifies training needs and creates development plans.

• Interprets, applies, and recommends changes to organizational policies and procedures.

• Collaborates with private client group management to identify and implement solutions.

• Monitors regulatory compliance with internal and external groups including auditors, FINRA, IRS, SEC, and others.

• Establishes objectives with a sense of urgency and develops processes and procedures to ensure efficient and timely workflow.

• Works with product managers and information technology groups to create system requirements that will facilitate processes; moves projects through to implementation.

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

• Maintains regular contact with senior manager and other internal customers to identify, research, and resolve issues.

• Ensures effective coordination occurs between assigned functional area(s) and other areas.

• Identifies trends and implements corrective action as necessary.

• Uses financial data and performance indicators to establish control mechanisms and other improvement initiatives.

• Develop and administer policies, procedures, and budget for the department.  Ensure policies and procedures are interpreted and carried out properly.

• May manage multiple departmental budgets.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

• Company’s working structure, policies, mission, and strategies.

• Project management methodology sufficient to act in a sponsorship role.

• Principles of finance and securities industry operations.

• Financial markets and products.

• Performance management.

Skill in:

• Preparing operational budgets. 

• Interpreting and applying policies and procedures.

• Establishing operational objectives.

• Implementing processes and procedures for efficient and timely workflow.

• Preparing management reports.

• Promoting effective coordination between work groups. 

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 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 (B.A.) in finance, business administration, or related field and eight (8) years experience in financial services, including five (5) years in a management position.

~or~

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

Licenses/Certifications:

• SIE requiredprovided that an exemption or grandfathering cannot be applied.

• Series 99, or ability to obtain within 120 days (as required by FINRA), required

• (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.)

• Ability to obtain Series 7 License or other FINRA Licenses (as required).

Education

Bachelor’s: Finance, High School (HS) (Required)

Work Experience

General Experience - More than 15 years

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 7_TR - Sec Trader - Financial Industry Regulatory Authority (FINRA), Series 99_OS-Operations Professional - Financial Industry Regulatory Authority (FINRA)

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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