Supervisor, Operations - Training, QA, & Documentation | Advisory - managed New Accounts

Supervisor of Training and Quality Assurance

This position follows a hybrid-friendly schedule, so you get the best of both worlds – flexibility and collaboration. In office days will be three per week, averaging 12 days per month, in one of the following locations: St. Petersburg, FL or Memphis, TN. The Supervisor of Training and Quality Assurance plays a critical role in driving employee development, service excellence, and regulatory compliance within the Advisory and Managed New Accounts team. This position leads the training, quality assurance, and documentation functions, ensuring that associates are equipped with the knowledge, tools, and standards necessary to deliver consistent, high-quality service in a regulated environment.

Key Responsibilities:

• Lead and manage a team of trainers, quality assurance analysts, and documentation specialists.
• Oversee the design, delivery, and evaluation of training programs to support onboarding, role-specific development, and ongoing education.
• Collaborate with department leaders to assess training needs and align learning strategies with business goals.
• Stay current on industry trends, adult learning principles, and instructional design best practices.
• Support change management initiatives through targeted training and communication efforts.
• Develop and maintain quality assurance policies, procedures, and performance standards.
• Conduct audits and assessments to identify risks, inefficiencies, and opportunities for improvement.
• Provide coaching and guidance to staff on quality standards and financial control procedures.
• Analyze performance data to identify trends and drive strategic improvements.
• Ensure timely and accurate reporting of audit findings, control gaps, and remediation efforts.
• Present quality and performance insights to senior leadership.
• Establish and maintain documentation standards, templates, and procedures to ensure consistency and compliance.
• Monitor regulatory changes and ensure documentation practices align with industry requirements.
• Contribute to annual and long-term planning, including forecasting performance, resource needs, and business cases for key initiatives.
• Provide ongoing coaching and development to team members to enhance their skills and performance.
• Collaborate with business units to identify pain points and recommend tech-based solutions.
• Champion the adoption of digital tools and platforms across departments.
• Stay current with emerging technologies and industry trends relevant to operational efficiency.
• Build business cases for technology investments and present findings to senior leadership.

Qualifications & Skills:

• Strong understanding of internal controls, risk management, and regulatory compliance in a brokerage or financial services environment.
• Proven ability to manage multiple priorities and projects in a fast-paced setting.
• Exceptional communication, presentation, and facilitation skills.
• Demonstrated ability to provide guidance and training using clear, effective verbal and written communication.
• Ability to interpret and apply laws, regulations, and policies independently while providing technical guidance to others.
• Skilled in negotiation and consensus-building across teams with differing priorities.
• Experience in leading cross-functional teams and driving continuous improvement.

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: 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

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.