Knowledge, Skills, and Abilities:
Knowledge of:
- Company%26rsquos working structure, policies, mission, and strategies.
- Project management methodology sufficient to act in a sponsorship role.
- Principles of finance and securities industry operations.
- Proven experience in compliance, risk or a related field within the financial services industry.
- Financial industry regulation such as FINRA Consolidated Audit Trail (CAT) and Customer AccountInformation System (CAIS), Large Options Position Report (LOPR)
- 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 work flow.
- Preparing management reports.
- Promoting effective coordination between work groups.
- Project management skills and experience sufficient to successfully complete long and short-term projects.
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.
- 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%26rsquos 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 required provided 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.)
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