Director, Operations | Advisor Transitions Management

Responsibilities :

• Contribute to a culture of collaboration and teamwork across Transitions Management.

• Develop and build relationships with key internal stakeholders, specifically PCG recruiting, supervision and channel leadership, Core Operations, Marketing, Registrations, Risk, and more!

• Lead a diverse array of team members spanning entry level to a high-functioning leadership team.

• Drive and support continuous operational improvements in key functions.

• Manage the strategy for a robust contract workforce including overseeing training, onboarding and performance management.

• Contribute to overall workplace morale for 80-100 associates and contractors, helping contribute to a culture of accountability and recognition.

• Support the overall Transitions Management strategy by developing and delivering operational plans and outcomes, anticipating complex issues, challenges and opportunities.

• Represent and communicate the work of Transitions Management across Raymond James and in prospective and existing advisor events.

• Identify the capabilities needed to meet the current and emerging business needs of Transitions Management. Evaluate current capabilities, identify gaps, and prioritize development activities. Motivate others to develop their capabilities and fulfill their personal potential. Build capabilities elsewhere in the organization through mentoring and other informal methods.

Skills :

• Demonstrated ability to lead organizational change and drive adoption of new initiatives

• Strong talent development and succession planning experience with a track record of developing high-performing leaders

• Leadership experience leading leaders and leading individual contributors

• Deep understanding of the financial professional onboarding lifecycle, including licensing, compliance, and operational readiness

• Commitment to delivering a best-in-class advisor experience while balancing risk, scale and operational efficiency

• Comfort and confidence in collaboration with clients and client-facing departments within Raymond James

• Strong process improvement experiences driving cross-functional operational improvements within budget

• Experience leading enterprise-wide programs and technology-enabled transformation initiatives

• Proven strategic thinking to envision roles and functions to improve advisor and associate experiences

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.

• Series 7, Series 24 or 9/10, preferred .