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About the Role
Raymond James Ltd. is seeking a qualified Transition Team Supervisor to ensure the efficient and effective onboarding of Financial Advisors. This role oversees the day-to-day operations of the Transition Team in a leadership capacity.
Responsibilities
- Act as direct reporting line to Transition Planners and Transition Administrators
- Understand and educate transition team members on policies and procedures relating to operations, compliance, technology, investment products, and general business issues
- Monitor the progress of ongoing transitions and report to stakeholders and Senior Management
- Ability to lead large or multiple projects with significant scope and impact
- Ability to present the department offering during home office visits for prospective Financial Advisors
- Assist in the management of department objectives and projects; acts as mentor, role model and team representative
- Assist in developing new educational ideas and systems
- Maintain an ongoing dialogue with transitioning Financial Advisors/Agents to Raymond James
- Research and help resolve issues related to the transition of new Financial Advisors joining existing IAS and IFS offices
- Customize transition requirements to the needs of the Financial Advisor
- Provide onsite branch support as needed
- Pro-actively contact branches to introduce and guide them through Raymond James internal systems
- Coordinate approval and printing process of IFS stationary, and business cards
- Act as a liaison between Financial Advisors and home office departments and ensure follow up and completion of transition responsibilities
- Act as a backup to other transition team members
- Act as the primary point of contact for assigned transitions
- Perform special projects and cross-train on other departmental functions
- Pro-actively monitor branch transition statistics and reports monthly to stakeholders
- Troubleshoot incoming calls and issues from branches
- Manage weekly transition call with Financial Advisor
- Manage monthly team metrics
- Perform semi-annual performance reports for transition team members
- Maintain transition checklist and communicate progress of transition to Manager, Transition Services
- Visit the branch location to provide support in the form of training, initiate the documentation completion (repapering) process and quality control
- Communicate and coordinate transition requirements to Agents
- Coordinate Financial Advisor set up to Raymond James
- Educate new Financial Advisors/Agents and their staff on Raymond James policies and procedures
- Coordinate and distribute information regarding CIRO registration and insurance
- Facilitate office set up including IT
- Maintain ongoing communication between the Financial Advisor/Agent and RJ departments
- Troubleshoot any transition issues
Requirements
- 5 years in the Investment Brokerage or Financial Services Industry
- College diploma or degree or an equivalent combination of experience, education, and/or training
- Completion of Canadian Securities Course
- Completion of the Conduct and Practices Handbook
- Excellent proficiency with MS Office (Word, Excel, PowerPoint, Outlook & Copilot)
- Experience with Dataphile and FactSet is an asset
- Supervisory or management experience preferred
- Valid driver’s license
- Superior customer service skills
- Ability to organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment
- Ability to communicate in writing and verbally with financial advisors and their staff on various operations issues
- Create, organize and make effective presentations as well as ability to confidentially present to small and large groups
- Possess confidence and gravitas to make sound business decisions
- A good understanding of the procedures and processes supporting Financial Advisor and Sales Assistant roles
- Well-developed interpersonal skills and the ability to handle confidential information with tact and discretion
- The ability to work in a dynamic team environment and demonstrate a professional and friendly manner
- Superior organizational, multi-tasking and problem-solving skills
- Ability to participate in projects with tight deadlines
- A meticulous attention to detail and accuracy
- Flexible and willing to assist others as required
- Ability to work effectively with minimal supervision
- Superior time management skills
- Proactive thinking and excellent problem-solving abilities
Skills
- MS Office (Word, Excel, PowerPoint, Outlook & Copilot)
- Dataphile
- FactSet
- Customer service
- Organization
- Time management
- Problem-solving
- Presentation skills
- Communication (written and verbal)
- Interpersonal skills
- Attention to detail
Location
- Onsite
Work Type
- Full-time
Experience Level
- 5 years in the Investment Brokerage or Financial Services Industry
- Supervisory or management experience preferred
Education Level
- College diploma or degree or an equivalent combination of experience education, and/or training
- Completion of Canadian Securities Course
- Completion of the Conduct and Practices Handbook
Salary/Compensations
- $75,000 - $85,000 annually, in addition to competitive performance bonuses/incentives
Benefits
- Flexible workstyles
- Competitive compensation and benefits package
- Health Benefits
- RRSP Matching Program
- Employee Stock Purchase Plan
- Paid Time Off
- Volunteer Days
- Discretionary Bonuses
- Tuition Reimbursement
About the Company
- Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.
- At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together.
- Our most important investment is in people.
- We also support internal promotion and community involvement.
- At Raymond James – we honor, value, respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic self, our organization, clients and communities thrive, it is part of our people-first culture.
Equal Opportunity
- The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
- We demonstrate our commitment to ensuring equal opportunities for all candidates.
- To request accommodations, candidates are instructed to contact Human Resources via email at recruitment@raymondjames.ca.
- By reaching out to this email address, candidates can communicate their specific requirements and discuss the necessary accommodations they may need to participate fully in the recruitment process.
- We may use automated or AI-enabled tools to support parts of our recruitment and screening process, including screening, assessing or selecting applicants where applicable. These tools help us review applications efficiently, but they do not replace human decision-making.