Capital Access Operations Supervisor I Southfield, MI

Job Description Summary

Raymond James is seeking an experienced operations supervisor to lead our Capital Access team. Capital Access is Raymond James cash management account that gives clients the ability to write checks authorize ACHs utilize online Bill Pay through Client Access and transact via a Visa debit card. The ideal candidate will bring strong operational leadership experience along with an understanding of banking and brokerage operations from client onboarding to ongoing maintenance and exceptional service.

This role is best suited for a candidate who has demonstrated success supervising operations teams or supervising in a banking environment. The candidate should possess strong risk awareness regulatory knowledge and the ability to drive operational excellence while supporting advisors and delivering a high-quality client experience.

Job Description

This position follows our hybrid-friendly schedule so you get the best of both worlds flexibility and -office days will be 3 per week averaging 12 days per month in our Southfield MI Corporate Office.

Responsibilities

• Supervise a team of 10-12 associates who provide support to clients and advisors via phone email and eventually chat.

• Lead a team supporting Capital Access operations ensuring accurate and timely processing of client/branch requests and onboarding activities.

• Utilize knowledge of banking and brokerage operations to support operational effectiveness and mitigate risk.

• Interact with contracted vendors (Fiserv UMB Bank Deluxe Visa) who help deliver the Capital Access cash management products and services provided to clients.

• Contribute to the development of annual and longer-term business plans; forecast performance against key business performance indicators (KPIs); develop business cases for key activities/projects; and estimate the financial and human resources required to deliver performance targets.

• 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.

• Develop associates in their careers via annual development plans monthly 1-on-1 meetings and performance coaching as needed.

• Identify shortcomings in existing processes systems and procedures and use established change management programs to address them.

• Work within established procedures to achieve specified goals.

• Ensure operational activities align with applicable FINRA SEC and internal compliance requirements related to Capital Access operations.

• Identify within the team instances of noncompliance with the organizations policies and procedures and/or relevant regulatory codes and codes of conduct reporting these instances and escalating issues as appropriate.

Experience

• Prior supervisory or team leadership experience within brokerage or banking operations.

• Strong understanding of operational risk account controls client onboarding suitability considerations and regulatory requirements associated with investment account processing.

• Ability to partner effectively with advisors compliance risk and operational stakeholders in a highly regulated financial services environment.

• Knowledge of cash management operations (checking ACH Bill Pay Visa debit card).

Skills

• Strong leadership organizational and team development skills with the ability to prioritize and oversee operational activities to meet business objectives.

• Ability to interpret and apply FINRA SEC and internal regulatory policies and procedures within a highly regulated financial services environment.

• Strong analytical and problem-solving skills with the ability to identify operational risks process gaps and opportunities for improvement.

• Effective verbal and written communication skills with the ability to provide guidance coaching and technical direction to team members and business partners.

• Experience analyzing operational data and performance metrics to support reporting and business decision-making.

• Ability to manage competing priorities adapt to changing business needs and drive operational efficiency in a fast-paced environment.

• Strong customer service mindset with the ability to support advisors internal partners and clients effectively.

• Experience managing projects workflows and process improvement initiatives within established timelines and quality standards.

• Ability to collaborate and build consensus across operations compliance risk and other business stakeholders.

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/and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination.

Education

Bachelors: Accounting Bachelors: Business Administration Bachelors: Finance 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 .

At Raymond James our associates use five guiding behaviors (Develop Collaborate Decide Deliver Improve) to deliver on the firms 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.