Series 99 Jobs (NOW HIRING)

Job Description Summary

Job Description

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 one of the following locations: St. Petersburg, FL, Memphis, TN or Southfield, MI.

Leads a back-office operations team responsible for reviewing account opening documentation and supporting ongoing client account maintenance in a brokerage environment. Ensures documentation is reviewed accurately, timely, and in accordance with applicable regulatory, firm, and internal control requirements.

This role is responsible for developing a high-performing team, managing daily workflows, aligning resources to business needs, and using metrics to drive service quality and operational efficiency. The Supervisor also identifies risks, strengthens controls, and supports continuous improvement to promote scalable, well-controlled operations.

Responsibilities

• Supervise others working within established operational systems.
• Supervise a team providing administrative and service operations support and have deep expertise in the service operations provided by that team.
• Help others get the most out of internal communications systems by offering support and advice. Execute a communications plan within established internal communication systems and procedures.
• 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.

Skills

• Works at an advanced level to express ideas, request actions, formulate plans, & policies by means of clear and effective verbal communications. Typically works independently and provides guidance.
• Works at an advanced level to deliver required services to clients to the required standards. Typically works independently and provides guidance.
• Works with full competence to orient work in a workflow to plan, organize, and execute the steps it takes to achieve higher efficiencies. Typically works without supervision and may provide technical guidance.
• Works at an advanced level to review and evaluate recommendations and requirements and to develop appropriate plans or deliver actions required. Typically works independently and provides guidance.

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.

Education

High School (HS) (Required)

Work Experience

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

Certifications

s99 - Operations Professional Examination - Financial Industry Regulatory Authority (FINRA), 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.

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