Supervisor, Operations - AMS Trading

Job Description Summary

Manages professionals from entry-level to specialist and expert in the field of Asset Management.

Job Description

Provides direction, leadership, and support for AMS UMA Trading Operations. Implements business plans and ensures policies and procedures are followed. May be accountable for various projects to improve efficiency and drive productivity and quality within their area. Individuals at this level should have a broad understanding of the different areas of Trading and Operations. Contact with internal and external customers will be required to identify, research, analyze, and resolve issues. Monitors productivity and service levels—strong people leader who provides coaching, development, and performance management.

Responsibilities:

• Oversee and manage day-to-day operations of AMS UMA Trading Operations group.

• Partners with cross-site peers and managers to establish performance goals for the department; collaborates with and directs associates to meet or exceed these goals.

• Acts as an information source for associates and ensures training and development occurs.

• Plans, assigns, monitors, reviews, evaluates, and leads associates' work.

• Oversees team morale and plans for appropriate team building activities and rewards and recognition.

• Handles performance management, including career development and progressive discipline of direct reports.

• Interviews and hires associates who possess the core competencies of the position to strengthen the department and mitigate turnover.

• Works in cooperation with peers on establishing objectives and developing processes and procedures to ensure efficient and timely workflow with special regard to service delivery, compliance, and risk factors for the firm.

• Ensures appropriate documentation and departmental tools are created and/or maintained (job procedures, job aids, forms, training material, etc).

• Interprets and applies organizational policies and procedures.

• Effectively collaborates with other supervisors in the same or different functional groups to accomplish assigned goals and process/policy changes; this often occurs across multiple sites.

• Overlay accounts to pre-defined single and multi-sleeve trading models and execute trades based on product guidelines.

• Participate in the best execution review panel for covered accounts.

• Plan, implement, and execute periodic large-scale rebalances for various managed platforms.

Skills:

• General knowledge of managed account practices.

• Model-based portfolios and their implementation.

• Investment concepts, practices, and procedures used in the securities industry.

• Market trading practices of products, including equities, ETFs, UCITs, ADRs, and mutual funds.

• Create and execute large block trade allocations, determining the best method of execution.

• Managing workflow and priorities in a fast-paced environment.

• Establishing operational objectives.

• Implement processes and procedures for efficient and timely workflow. Promote effective coordination between work groups.

• Interpreting and applying policies and procedures.

• Learn the concepts, principles, and practices of the assigned functional area.

• 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.

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring all viewpoints, ideas, and problems are addressed.

• Incorporate needs, wants, and goals into operational processes from different business unit perspectives.

• 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.

Education

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

Work Experience

General Experience - 3 to 6 years, Manager Experience - 13 months to 3 years

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Less than 25%

Workstyle

Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

 

 

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.