Branch Manager-Chattanooga, TN

Job Description Summary

Oversee the day-to-day operations of a Raymond James & Associates (RJA) retail branch. May service clients in his/her own book of business.

Job Description

Job Summary
Oversee the day-to-day operations of a Raymond James & Associates (RJA) retail branch. May service clients in his/her own book of business.

Essential Duties and Responsibilities

Attracts selects orients trains and retains Financial Advisors (FAs) and support staff.

Continually evaluates branch structure and strategic plan including future growth as needed to promote overall efficiency and profitability while maintaining a commitment to excellent service.

Responsible for compliance oversight and ensuring adherence to firm and regulatory policies and procedures.

Supervises daily trading and other office activities.

Documents and resolves client complaints.

Performs reviews of client accounts.

Develops and implements plans to meet office sales goals.

Facilitates sales promotion activities such as seminars and luncheons/dinners.

Develops and monitors office revenue and expense budgets.

Informs FAs about new products and RJA managed underwritings.

Participates in community affairs as a representative of the firm.

May service clients in his/her own book of business.

Performs other duties and responsibilities as assigned.

Knowledge of

Companys working structure policies mission strategies and compliance guidelines.

Economic and accounting principles and practices the financial markets banking and analysis and reporting of financial data.

Legal requirements and federal and state regulations related to employment.



Skill in

Operating standard office equipment and using required software applications to produce correspondence reports electronic communication spreadsheets and databases.

Preparing and delivering clear effective and professional presentations.

Identifies the needs of customers through effective questioning and listening techniques.


Ability to

Continuously learn investment products industry rules and regulations and financial planning.

Provide a high level of customer service.

Organize manage and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

Use appropriate interpersonal styles and communicate effectively both orally and in writing with all organizational levels.

Articulate reasons behind decisions.

Keep all appropriate parties up-to-date on decisions changes and other relevant information.

Establish and maintain effective working relationships with others.

Identify problems gather facts and develop solutions.


Education/Previous Experience

Bachelors degree (B.A.) from four-year college or university and a minimum of three (3) years experience in a financial services firm or an equivalent combination of experience education and/or training as approved by Human Resources


Licenses/Certifications

SIE required provided that an exemption or grandfathering cannot be applied.

Series 7 and 9 & 10 (or 8) required.

Series 63 & 65 or 66 as required by state.

Life Health and Variable Annuity Insurance Licenses.

NFA Commodities License required if any commodities trading is done at the branch.

Education

Bachelors (Required)

Work Experience

General Experience 10 to 15 years Manager Experience - 10 to 15 years

Certifications

s10 - General Securities Sales Supervisor - General Module Examination - Financial Industry Regulatory Authority (FINRA) S65 - Uniform Investment Adviser Law Examination - Financial Industry Regulatory Authority (FINRA) s66 - Uniform Combined State Law Examination - Financial Industry Regulatory Authority (FINRA) s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA) s9 - General Securities Sales Supervisor - Options Module Examination - Financial Industry Regulatory Authority (FINRA)

Travel

Up to 50%

Workstyle

Resident

The total compensation for this position includes base salary or wages and may include components such as additional compensation (cash or equity) discretionary bonuses or commissions. This position is eligible for a benefits package that may include medical dental and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation holidays and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered visit .

At Raymond James our associates use five guiding behaviors (Develop Collaborate Decide Deliver Improve) to deliver on the firms 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.

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