Branch Manager (Dallas, TX)

Job Description Summary

Under general direction and with a high level of autonomy uses extensive knowledge and skills obtained through education and experience to manage a retail branch office of Raymond James and Associates. Manages the compliance oversight ensuring adherence to firm and regulatory policies and procedures. May operate within a complex of branches.

Job Description

Essential Duties and Responsibilities

Evaluates branch structure and strategic plan including future growth as needed to promote

overall efficiency and profitability while maintaining a commitment to excellent service. Develops

and implements plans to meet office sales goals.

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

Performs reviews of client accounts and documents and resolves client complaints.

Coordinates registrations continuing education licensing etc. of branch personnel.

Oversees daily trading and other office activities.

Supervises daily trading and other office activities.

Facilitates sales promotion activities such as seminars and luncheons/dinners as well as inform FAs about new products and RJA managed underwritings.

Develops and monitors office revenue and expense budgets.

May attract select orient train and retain Financial Advisors (FAs) and support staff.

May conduct ongoing performance appraisals scheduled performance appraisals and salary

reviews of operations associates and maintains branch associate files.

May review daily work of associates; evaluate workload and responsibilities of support staff to

determine necessary assignment changes to maintain efficient workflow.

May ensure daily staffing levels and cross-training is adequate.

Participates in community affairs as a representative of the firm.

Services 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

Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner constantly projecting a Service 1st attitude.

Establish and maintain a respected position of leadership to influence motivate and persuade

others to achieve desired outcomes.

Project a professional and pleasant appearance and demeanor to work with clients; utilize tact

and diplomacy in dealing with customers in a deadline-driven environment.

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

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 - 6 to 10 years

Certifications

s10 - General Securities Sales Supervisor - General Module 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) Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Less than 25%

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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