Raymond James
Senior Retirement Plan Specialist
Raymond James is seeking an experienced professional to serve as a Senior Retirement Plan Specialist. This role requires advanced expertise in qualified retirement plans and IRAs, gained through extensive experience, specialized training, and/or certification. The specialist will work with minimal supervision, providing comprehensive support to financial advisors, branches, internal associates, and departments.
Key Responsibilities
Lead training initiatives to enhance quality and effectiveness across the organization.
Manage moderately complex projects and serve as a technical advisor across teams.
Provide advanced product and service information, incorporating regulatory or IRS‑specific detail when relevant, and respond to complex customer questions with accuracy and clarity.
Identify and report non‑compliance with organizational policies, regulatory guidelines, and IRS rules, escalating issues to ensure corrective action and audit readiness.
Resolve escalated customer issues independently, providing managerial approvals and compliance checks as needed.
Deliver a consistently high‑quality service experience while identifying opportunities to support business retention, improve operational processes, or enhance compliance.
Provide technical guidance or training to peers, translating customer requirements into business language and processes.
Build and strengthen customer relationships through compliant, accurate service and proactive engagement.
Additional Responsibilities
Monitor and report internal non‑compliance, ensuring prompt escalation.
React to advanced issue escalations promptly and appropriately.
Maintain a quality service to clients while identifying new business or retention opportunities.
Required Knowledge
Rules and regulations of the IRS and DOL regarding IRAs and qualified plans.
Fundamental financial planning and investment concepts used in the securities industry.
Principles of securities industry operations, financial services, and products.
Skills
Operates with full competence and independence, delivering high‑quality services that meet regulatory requirements.
Provides technical guidance and training to others.
Aligns organizational processes with customer needs while maintaining compliance.
Builds strong client relationships and mentors peers on best practices.
Preferred Certifications
Securities Industry Essentials (SIE) Exam
FINRA Series 99 – Operations Professional
FINRA Series 7 – General Securities Representative
Certified Investment Services Professional (CISP)
Education Bachelor’s degree required (Accounting, Business Administration, Finance, or equivalent). High school diploma is the minimum requirement.
Experience General Experience: 3 to 6 years in a related role.
Travel Less than 25%.
Workstyle Hybrid – office days 3 per week (average 12 days per month) at St. Petersburg, FL, Memphis, TN, or Southfield, MI.
Company Commitment Raymond James is an equal‑opportunity employer. We are an inclusive culture that values authenticity, integrity, and a conservative, long‑term view.
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Key Responsibilities
Lead training initiatives to enhance quality and effectiveness across the organization.
Manage moderately complex projects and serve as a technical advisor across teams.
Provide advanced product and service information, incorporating regulatory or IRS‑specific detail when relevant, and respond to complex customer questions with accuracy and clarity.
Identify and report non‑compliance with organizational policies, regulatory guidelines, and IRS rules, escalating issues to ensure corrective action and audit readiness.
Resolve escalated customer issues independently, providing managerial approvals and compliance checks as needed.
Deliver a consistently high‑quality service experience while identifying opportunities to support business retention, improve operational processes, or enhance compliance.
Provide technical guidance or training to peers, translating customer requirements into business language and processes.
Build and strengthen customer relationships through compliant, accurate service and proactive engagement.
Additional Responsibilities
Monitor and report internal non‑compliance, ensuring prompt escalation.
React to advanced issue escalations promptly and appropriately.
Maintain a quality service to clients while identifying new business or retention opportunities.
Required Knowledge
Rules and regulations of the IRS and DOL regarding IRAs and qualified plans.
Fundamental financial planning and investment concepts used in the securities industry.
Principles of securities industry operations, financial services, and products.
Skills
Operates with full competence and independence, delivering high‑quality services that meet regulatory requirements.
Provides technical guidance and training to others.
Aligns organizational processes with customer needs while maintaining compliance.
Builds strong client relationships and mentors peers on best practices.
Preferred Certifications
Securities Industry Essentials (SIE) Exam
FINRA Series 99 – Operations Professional
FINRA Series 7 – General Securities Representative
Certified Investment Services Professional (CISP)
Education Bachelor’s degree required (Accounting, Business Administration, Finance, or equivalent). High school diploma is the minimum requirement.
Experience General Experience: 3 to 6 years in a related role.
Travel Less than 25%.
Workstyle Hybrid – office days 3 per week (average 12 days per month) at St. Petersburg, FL, Memphis, TN, or Southfield, MI.
Company Commitment Raymond James is an equal‑opportunity employer. We are an inclusive culture that values authenticity, integrity, and a conservative, long‑term view.
#J-18808-Ljbffr