Vice President, Operations | Non-Financial Regulatory Reporting

3 days ago

palmetto FL United States Raymond James Financial Full time

Job Description - Vice President, Operations | Non-Financial Regulatory Reporting (2402993)

Job Summary:

Under administrative direction, uses extensive knowledge and skills obtained through education and experience to oversee one or more sub-departments within Operations. Leads large projects, programs or processes with significant business impact involving cross-functional teams. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Extensive contact with Senior Management is required, to provide comprehensive solutions to complex problems or needs.

Essential Duties and Responsibilities:

  • Plans, assigns, monitors, reviews, evaluates and leads the work of subordinate managers and supervisors.
  • Performs human resource management activities, including coaching and mentoring subordinates within a performance management culture.
  • Coaches and mentors subordinates, identifies training needs, and creates development plans.
  • Interprets, applies and recommends changes to organizational policies and procedures.
  • Collaborates with private client group management to identify and implement solutions.
  • Monitors regulatory compliance with internal and external groups including auditors, FINRA, IRS, SEC and others.
  • Establishes objectives with a sense of urgency and develops processes and procedures to ensure efficient and timely work flow.
  • Works with product managers and information technology groups to create system requirements that will facilitate processes; moves projects through to implementation.
  • Performs periodic reporting on work progress, project completions and additional ad-hoc reporting as required.
  • Maintains regular contact with senior manager and other internal customers to identify, research, and resolve issues.
  • Ensures effective coordination occurs between assigned functional area(s) and other areas.
  • Identifies trends and implements corrective action as necessary.
  • Uses financial data and performance indicators to establish control mechanisms and other improvement initiatives.
  • Develop and administer policies, procedures, and budget for the department. Ensure policies and procedures are interpreted and carried out properly.
  • Performs other duties and responsibilities as assigned.

Qualifications:

Knowledge, Skills, and Abilities:

  • Knowledge of:
    • Company’s working structure, policies, mission, and strategies.
    • Project management methodology sufficient to act in a sponsorship role.
    • Principles of finance and securities industry operations.
    • Financial markets and products.
    • Performance management.
  • Skill in:
    • Preparing operational budgets.
    • Interpreting and applying policies and procedures.
    • Implementing processes and procedures for efficient and timely work flow.
    • Preparing management reports.
  • Ability to:
    • 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.
    • Maintain currency in assigned area of responsibility.
    • Partner with other functional areas to accomplish objectives.
    • Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
    • Incorporate needs, wants and goals from different business unit perspectives into operational processes.
    • Read, interpret, analyze and apply information from job-related publications.
    • Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes.
    • Interpret and apply policies.
    • Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
    • 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.

Educational/Previous Experience Requirements:

  • Bachelor’s Degree (B.A.) in finance, business administration or related field and eight (8) years experience in financial services, including five (5) years in a management position.

OR

  • Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications:

  • SIE required provided that an exemption or grandfathering cannot be applied.
  • Series 99 , or ability to obtain within 120 days (as required by FINRA), required
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