Supervisor, Operations – Series 7 & 66 Required

Raymond James

Supervisor overseeing Operations and managing a team for client experience in a financial services firm. Leading associates to ensure outstanding service and compliance with regulations, particularly in brokerage operations.

Posted 7/22/2026full-timeFlorida • 🇺🇸 United StatesMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates strong leadership and supervisory skills in financial services, ensuring a Service 1st client experience while managing team performance and operational processes. Proficient in executing client-directed transactions and adhering to compliance standards.

Highest-signal resume keywords

Leadership ExperienceClient Experience ManagementFinancial Services OperationsSeries 7 CertificationSIE Certification

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Client-Directed TradesTransaction ManagementOperational Process ImprovementMetrics UtilizationStandard Operating Procedures Development

Soft Skills

Team LeadershipConflict ResolutionCommunication SkillsTraining and DevelopmentIntegrity

Certifications & Qualifications

SIESeries 7Series 63Series 65Series 66

Industry Keywords

Brokerage OperationsCall Center ManagementClient Account ManagementRisk MitigationCode of Business Conduct & Ethics

About the role

Key responsibilities & impact

lead a team of Associates, focusing on delivering a Service 1st client experience.
demonstrate well-rounded leadership qualities and supervisory skills coupled with a mastery of brokerage operations.
ensure teams you lead deliver a positive Service 1st experience by monitoring interactions with clients and utilizing metrics to manage workflows.
be the primary point of contact for onboarding new Associates and provide ongoing training to refine client interactions.
confirm day-to-day call center staffing is adequate to respond to call volumes.
manage your team in accordance with Raymond James’ Human Resources policies and procedures.
partner with other home office departments to resolve client account issues and improve operational processes.
respond to and resolve escalated situations.
serve as an additional resource in the call center during high call volumes.
execute client-directed trades across various product types (equities, mutual funds, options, fixed income, and alternative investments).
reach out to clients to address important account matters and conduct routine follow up as needed.
handle client-directed transactions such as ACH transfers, wire transactions, and journal requests regularly.
manage a diverse range of accounts, including trust, estate, and entity accounts.
maintain a high level of integrity and adhere to Raymond James' Code of Business Conduct & Ethics.
work with branch and firm resources to mitigate risks.
provide regular updates to senior management regarding team performance and challenges.
develop and Document branch processes into Standard Operating Procedures.

Requirements

What you’ll need

Bachelor's degree in a related field or an equivalent combination of education and work experience.
Three (3) or more years’ experience in financial services / operations including one (1) year as team lead or leadership experience in a financial or service organization.
SIE required provided that an exemption or grandfathering cannot be applied.
Series 7 and 63/65 or 66 Required - must able to be registered in all 50 states.
Series 9, 10 and 24 preferred.

Benefits

Comp & perks

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)
parental leave