Advisory & Managed New Accounts Operations Supervisor I Memphis, TN

This position follows our hybrid-friendly schedule, so you get the best of both worlds – flexibility and collaboration. In-office days will be 3 per week averaging 12 days per month in our Memphis, TN Corporate Office. **Role Overview:** Raymond James is seeking an experienced operations supervisor to lead teams supporting Advisory and Managed New Account processing within a fast-paced financial services environment. The ideal candidate will bring strong operational leadership experience along with a deep understanding of investment products, managed accounts, and account onboarding processes. This role is best suited for a candidate who has demonstrated success supervising operations teams supporting investment advisory products, separately managed accounts (SMAs), unified managed accounts (UMAs), fee-based advisory platforms, or related wealth management products. The candidate should possess strong risk awareness, regulatory knowledge, and the ability to drive operational excellence while supporting advisors and delivering high-quality client experiences. **Responsibilities:** + Supervise others working within established operational systems. + Lead a team supporting Advisory and Managed New Account operations, ensuring accurate and timely processing of investment account documentation and onboarding activities. + Utilize knowledge of investment products, advisory platforms, brokerage operations, and managed account processes to support operational effectiveness and mitigate risk. + Contribute to the development of annual and longer-term business plans; forecast performance against key business performance indicators (KPIs); develop business cases for key activities/projects; and estimate the financial and human resources required to deliver performance targets. + Communicate the local action plan; explain how this relates to the function's strategy and action plan and to the broader organization's mission and vision; motivate people to achieve local business goals. + Develop and propose own performance objectives; take appropriate actions to ensure achievement of agreed objectives, using the organization's performance management systems to improve personal performance. Or manage and report on team performance; set appropriate performance objectives for direct reports or project/account team members and hold people accountable for achieving them, taking appropriate corrective action where necessary to ensure the achievement of team/personal objectives. + Supervise a team providing administrative and service operations support and maintain deep expertise in the service operations provided by that team. + Develop short- or medium-term work schedules in order to achieve planned commitments. Approve overtime or use additional resources as needed. + Identify shortcomings in existing processes, systems, and procedures, and use established change management programs to address them. + Work within established procedures to achieve specified goals. + Ensure operational activities align with applicable FINRA, SEC, and internal compliance requirements related to investment and advisory account operations. + Provide coaching to team members to develop their skills. + Identify, within the team, instances of noncompliance with the organization's policies and procedures and/or relevant regulatory codes and codes of conduct, reporting these instances and escalating issues as appropriate. **Experience:** + Prior supervisory or team leadership experience within brokerage operations, advisory operations, managed accounts, or wealth management operations. + Experience supporting investment products and advisory account platforms, including managed accounts, fee-based advisory programs, and brokerage account onboarding. + Strong understanding of operational risk, account controls, client onboarding, suitability considerations, and regulatory requirements associated with investment account processing. + Ability to partner effectively with advisors, compliance, risk, and operational stakeholders in a highly regulated financial services environment. **Skills:** + Strong leadership, organizational, and team development skills with the ability to prioritize and oversee operational activities to meet business objectives. + Demonstrated knowledge of investment operations, advisory platforms, managed account processing, and wealth management onboarding functions. + Ability to interpret and apply FINRA, SEC, and internal regulatory policies and procedures within a highly regulated financial services environment. + Strong analytical and problem-solving skills with the ability to identify operational risks, process gaps, and opportunities for improvement. + Effective verbal and written communication skills with the ability to provide guidance, coaching, and technical direction to team members and business partners. + Experience analyzing operational data and performance metrics to support reporting and business decision-making. + Ability to manage competing priorities, adapt to changing business needs, and drive operational efficiency in a fast-paced environment. + Strong customer service mindset with the ability to support advisors, internal partners, and clients effectively. + Experience managing projects, workflows, and process improvement initiatives within established timelines and quality standards. + Ability to collaborate and build consensus across operations, compliance, risk, and other business stakeholders. **Licenses/Certifications:** + SIE required or ability to obtain within 120 days (as required by FINRA), provided that an exemption or grandfathering cannot be applied. + Series 99 required, or ability to obtain within 120 days (as required by FINRA). 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.