Transition Team Supervisor

Job Description - Transition Team Supervisor (2600546)

At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together

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.

How does the role impact the organization?

Raymond James Ltd. is seeking a qualified Transition Team Supervisor to join the team. Raymond James Ltd. is one of Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

Under direct direction of the Manager, Transition Services, the Transition Team Supervisor is responsible for ensuring the onboarding of Financial Advisors is managed efficiently and effectively. The Transition Team Supervisor is responsible for the day-to-day operations of the Transition Team in a leadership capacity.

The Transition Team Supervisor’s responsibilities are wide-ranging and include the requirement to travel on short notice educating new Financial Advisor/Agents and their staff on Raymond James policies and procedures. Additionally, coordinate and distribute information regarding CIRO registration and insurance. As the transition progresses, the TTS will facilitate the office set up including IT, maintain ongoing communication between the Financial Advisor /Agent and RJ departments and troubleshoot any transition issues.

What will your role be responsible for?

• Act as direct reporting line to Transition Planners and Transition Administrators;
• Understand and educate transition team members on the 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;
• Once the FA/Agent begins at RJ, visit the branch location to provide support in the form of training, initiate the documentation completion (repapering) process and quality control. These sessions are to assist the new joiner in becoming proficient with the RJ methodology;
• Communicating and coordinating transition requirements to Agents; and
• Coordinate Financial Advisor set up to Raymond James.

What can you expect from us?

Our most important investment is in people. Upon eligibility, Raymond James Ltd offers flexible workstyles, a competitive compensation and benefits package. Our benefits range from Health Benefits, RRSP Matching Program, Employee Stock Purchase Plan, Paid Time Off, Volunteer Days, Discretionary Bonuses, Tuition Reimbursement and many more! We also support internal promotion and community involvement.

What do we expect from you?

To qualify for this opportunity, you possess:

• 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;
• Ability to organize, manage and track multiple detailed tasks and assignments with frequency 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;
• Proactive thinking and excellent problem-solving abilities.

We encourage 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

Salary Range:

$75,000 - 85,000annually, in addition to competitive performance bonuses/incentives.

Actual compensation will be determined based on skills, experience, internal equity, and other job requirements.
This posting is for an existing vacancy.

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. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
Here at Raymond James we demonstrate our commitment to ensuring equal opportunities for all candidates. To request accommodations, candidates are instructed to contact Human Resources via email at View email address on apply.j-vers.com. 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 recruitmentand screening process, including screening, assessing or selecting applicants where applicable. These tools help us review applications efficiently,but they donot replace human decision-making.

Raymond James Ltd. is a member of the Investment IndustryRegulatory Organization of Canada (IIROC) and of the Canadian Investor ProtectionFund (CIPF). Customers’ accounts are protected by the Canadian Investor ProtectionFund within specified limits. A brochure describing the nature and limits ofcoverage is available upon request or at . 3Macs, MacDougall,MacDougall & MacTier and Raymond James Correspondent Services are divisions ofRaymond James Ltd. Raymond James Ltd. is an integrated financial services firm. Itssubsidiaries, Raymond James Investment Counsel Ltd., Raymond James FinancialPlanning Ltd., Raymond James Trust (Canada) and Raymond James Trust (Québec) Ltd.are not members of the IIROC or the CIPF. Please consult each subsidiary’s webpagesfor applicable corporate, regulatory or membership information.