Under general direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience to manage and coordinate activities for their assigned work group. Leads large or multiple projects with significant scope, complexity and impact. Works independently or with subordinates on assignments that are broad in nature requiring ingenuity with appreciate latitude for unreviewed actions or decisions. Provides comprehensive solutions to escalated problems. Extensive contact with external regulators will be required to identify, research, analyze and resolve complex reporting issues.
Essential Duties and Responsibilities:
Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff.
Plans, assigns, monitors, reviews, evaluates and leads the work of subordinate supervisors and employees.
Coaches and mentors subordinates and identifies training needs and creates development plans.
Prepares and presents operational budgets for assigned functional area(s).
Provides logical interpretations of various regulatory reports (e.g. EBS, LOPR, TIC, CAT, INSITE & Short Interest).
Interprets, applies and recommends changes to organizational policies and procedures.
Establishes objectives and develops processes and procedures to ensure efficient and timely work flow.
Performs periodic reporting on work progress, project completions and additional ad-hoc reporting as required.
Balances conflicting resource and priority demands.
Maintains regular contact with senior manager or director 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.
Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
Concepts, principles and practices of assigned functional area(s)
Investment concepts, practices, products and procedures used in the securities industry.
Principles of back office and financial securities industry operations.
Financial markets and products.
Trade reporting requirements (e.g. EBS, LOPR, TIC, CAT, INSITE & Short Interest)
Trading Life Cycles (Orders, Executions, & Allocations)
Regulations under FINRA, SEC and Treasury rules
Preparing and reviewing operational budgets.
Interpreting and applying policies and procedures.
Establishing operational objectives.
Developing processes and procedures for efficient and timely work flow.
Preparing management reports.
Promoting effective coordination between multiple work groups and functional areas.
Identifying trends and implementing appropriate corrective action.
Establishing control mechanisms.
Implementing process improvement initiatives.
Perform human resource management activities.
Plan, assign, monitor, review, evaluate and lead the work of others.
Lead, Coach and mentor others in providing a high level of regulatory responses.
Balance conflicting resource and priority demands.
Anticipate obstacles and define alternative strategies.
Partner with other functional areas to accomplish objectives.
Interpret financial and brokerage rules, regulations and securities laws.
Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
Incorporate needs, wants and goals from different business unit perspectives into operational processes.
Gather information, identify linkages and trends and apply findings to operations.
Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes.
Communicate effectively, both orally and in writing.
Work independently as well as collaboratively within a team environment.
Initiate projects, measure risks and analyze impact on the business.
Establish and maintain effective working relationships at all levels of the organization, including negotiating resources.
SIE required provided that an exemption or grandfathering cannot be applied.
Series 99, or ability to obtain within 120 days (as required by FINRA), may be required depending on assigned functional area.
Series license(s) may be required depending on assigned functional area.
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