Raymond James · 1 day ago
Senior Retirement Plan Specialist
St. Petersburg, FL
Full-time
Hybrid
Mid, Senior Level
3+ years expRaymond James is a financial services firm seeking a Senior Retirement Plan Specialist who possesses advanced expertise in qualified retirement plans and IRAs. The role involves providing comprehensive support to financial advisors and internal teams, managing complex projects, and serving as a technical advisor while ensuring compliance with regulatory standards.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
Responsibilities
Actively participate in department and cross‑functional projects, contributing subject‑matter expertise on customer processes, regulatory requirements, operational workflows, and IRS‑related rules or documentation standards
Identify and report instances of noncompliance with organizational policies, regulatory guidelines, and/or IRS‑related rules, escalating issues appropriately to ensure corrective actions and audit readiness
Provide advanced product and service information, incorporating regulatory or IRS‑specific detail when relevant, and respond to complex customer questions with accuracy and clarity
Manage and resolve escalated customer issues with a high degree of independence and judgment; provide managerial approvals and regulatory compliance checks as required
Deliver a consistently high‑quality service experience while identifying opportunities to support business retention, improve operational processes, or enhance compliance. Responsibilities may include case processing, handling complex or sensitive inquiries, and performing detailed research to resolve client problems
Operates with full competence and independence in delivering high‑quality services that meet operational, regulatory, and IRS‑related requirements; may provide technical guidance or training to others
Fully proficient in aligning organizational processes with customer needs while ensuring adherence to regulatory expectations and project deliverables
Demonstrates strong ability to translate customer requirements into business language and processes, incorporating compliance, documentation, and IRS‑appropriate considerations
Builds and strengthens customer relationships by delivering positive, compliant, and accurate service experiences; may mentor or guide peers on best practices, regulatory awareness, or workflow improvements
Identify, within the team, instances of noncompliance with the organization's policies and procedures and/or relevant regulatory codes and codes of conduct, reporting these instances and escalating issues as appropriate
Provide advanced product/service information and respond to complex customer questions about the product/service
Respond to more advanced issue escalations promptly and appropriately; provide managerial approvals as required
Provide a quality service to clients while identifying opportunities to secure new business or support retention. Responsibilities may include processing cases, dealing with complex queries, and investigating and resolving client problems
Qualification
Required
Advanced expertise in qualified retirement plans and IRAs, gained through extensive experience, specialized training, and/or certification
Ability to operate with minimal supervision
Strong interpersonal skills and the ability to maintain extensive contact with both internal and external clients
Demonstration of originality and sound judgment in evaluating and resolving intricate issues
Ability to identify, research, and resolve problems efficiently and professionally
Participation in department and cross‑functional projects, contributing subject‑matter expertise on customer processes, regulatory requirements, operational workflows, and IRS‑related rules or documentation standards
Identification and reporting of instances of noncompliance with organizational policies, regulatory guidelines, and/or IRS‑related rules
Provision of advanced product and service information, incorporating regulatory or IRS‑specific detail when relevant
Management and resolution of escalated customer issues with a high degree of independence and judgment
Delivery of a consistently high‑quality service experience while identifying opportunities to support business retention, improve operational processes, or enhance compliance
Full competence and independence in delivering high‑quality services that meet operational, regulatory, and IRS‑related requirements
Ability to translate customer requirements into business language and processes, incorporating compliance, documentation, and IRS‑appropriate considerations
Building and strengthening customer relationships by delivering positive, compliant, and accurate service experiences
Identification of instances of noncompliance with the organization's policies and procedures and/or relevant regulatory codes
Provision of quality service to clients while identifying opportunities to secure new business or support retention
Knowledge of rules and regulations of the IRS and DOL pertaining to IRAs and qualified plans
Knowledge of fundamental financial planning and investment concepts, practices and procedures used in the securities industry
Knowledge of principles of securities industry operations and financial services and products
General experience of 3 to 6 years
Bachelor's degree in Accounting, Business Administration, or Finance
Preferred
Securities Industry Essentials (SIE) Exam
Financial Industry Regulatory Authority (FINRA) Series 99 – Operations Professional
FINRA Series 7 – General Securities Representative
Certified Investment Services Professional (CISP)
Company
Raymond James
Raymond James provides a range of investment banking services focused on the telecommunications and communications sectors.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$1.5B2025-09-09Post Ipo Debt· $1.5B
1983-07-01IPO
Leadership Team
Paul Shoukry
Chief Financial Officer
James Sickling
COO - Fixed Income
Recent News
TradingView
2025-12-16
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