Manager, Operations - Vancouver, Canada - Raymond James Financial

Raymond James Financial

Verified Company

Vancouver, Canada

1 week ago

Posted by:

Sophia Lee

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Description

Manager, Operations

Job Summary
Working directly with the Raymond James (USA) Ltd.

("RJLU") Senior Management Team, this individual will provide the leadership for the RJLU Private Client Group ("PCG") business operations in Canada, acting as the primary point of contact for FINRA-registered Financial Advisors and Sales Associates who manage U.S.resident client activities.

In addition, the individual will be responsible for maintaining a strong working relationship with the carrying firm, Pershing LLC, to ensure optimum support on day-to-day activities and issues as well as integration of future product releases.

This role will include assistance with respect to related Projects and Operations initiatives as assigned.

Along with the leadership competencies you will need to bring to your team, in this key "Service 1st" role you will be required to successfully interact with other key stakeholders across the firm as well as third-party service providers and other industry participants.

You will also recognize and embrace this opportunity to develop a more fulsome understanding of the broader roles and responsibilities of overall Operations function within a major broker/dealer, while continuing to foster cohesive working relationships across all functional areas.

Essential Duties and Responsibilities

Lead, manage and coordinate the daytoday activities of your assigned functional area(s); as well as perform administrative tasks where required to maintain prescribed service levels;
Provide leadership to all members of your team including ensuring their understanding and adherence to departmental and interdepartmental operating policies and procedures, while demonstrating strong clientcentric problem resolution skills for all escalated issues;
Assist with the coaching of your team, as well as design personal development plans and skills enhancement training for all associates, while conducting regular, structured oneonone and departmentwide meetings that provide for common goal setting, an open learning environment and foster opportunities for collaborative idea sharing;
Assist in the training and support of Financial Advisors and Sales Associates on the use of Pershing's introducing firm platform and identify and follow up on opportunities for support and training;
Assist in all phases of the Pershing Netx360 operational support process for RJLU registered FAs and Sales Associates;
Proactively evaluate and seek to improve the operational support process from best practices and lessons learned and will "own" all issues to full resolution;
Work closely with internal RJL partners to support the RJLU PCG business: Operations, Compliance, Branch Supervision, Finance, I.T., Marketing, PCG Services, Registrations and other departments as required;
Represent RJLU on industry committees and participate in related working groups;
Measure, monitor and manage the performance of your team, including assessing, identifying and implementing departmentspecific performance improvement and/or reengineering opportunities;
Lead initiatives to meet or exceed changing industry and regulatory requirements, while ensuring the firm complies with and/or continues to set industry best practices;
Prepare and present monthly/quarterly operating reports to the business heads;
Other duties as assigned.

Knowledge, Skills and Abilities

Knowledge of:

MS Office, plus working knowledge of Netx360 is an asset.

Skill in:

Delivering exemplary customer service;
Verbal, written and interpersonal communication;
Providing effective leadership;
Prioritizing, multitasking and problemsolving; and
Organization and timemanagement.

Ability to:

Pay keen attention to detail;
Handle sensitive and confidential situations with tact and diplomacy;
Work under pressure and adapt to changing priorities to meet important deadlines; and
Show keen interest in learning and expanding knowledge while understanding that credibility and/or mastery only comes from "rolling your sleeves up" when learning new tasks.

Educational/Previous Experience Requirements

A university or professional degree in a field related to business or operations management;
Minimum 24 years progressive management and/or leadership experience in a diverse environment, preferably in an Operations role with direct or related industry experience; and
Experience leading a team towards defined goals and objectives on a consistent basis.

Licensed and Certifications