Branch Operations Manager

Job Description Summary

Under branch manager direction manage the overall operational efficiency of the branch office. Directs day to day operational functions ensuring compliance with firm and regulatory policies and procedures. Uses extensive knowledge and skills obtained through education and experience to identify research analyze and resolve complex issues.

Job Description

Responsibilities

• Performs back-up for all operational functions as required by workloads and absences.
• Works directly with home office personnel to coordinate branch-home office workflow.
• Completes self-audit of branch procedures.
• Assists Branch Manager with confidential matters and compliance visits and replies.
• Assists Branch Manager with controlling expenses and operating at peak efficiencies.
• Oversees ordering of supplies purchase orders and postage usage.
• Maintains accounting of branch petty cash.
• May review branch invoices and operating statements.
• Researches and resolves complex problems relating to client accounts and inquiries.
• Assists Branch Manager in disseminating information at regular branch meetings.
• Coordinate rent facility office maintenance and cleaning/security issues.
• Recruits selects orients trains and supervises branch operations associates.
• In conjunction with the Branch Manager conducts ongoing performance management scheduled performance appraisals and salary reviews of operations associates and maintains branch associate files.
• Reviews daily work of operations associates.
• Evaluates workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow.
• Ensures daily staffing levels and cross-training is adequate.
• Coordinates registrations continuing education licensing etc. of branch personnel.
• Performs other duties and responsibilities as assigned. May perform some Branch Manager duties

Education/Experience Requirements

• Bachelors degree and three years experience in the financial services industry preferably including related operational management and supervisory experience

or

• An equivalent combination of experience education and/or training as approved by Human Resources

Licenses Required

• SIE required provided that an exemption or grandfathering cannot be applied
• Series 7 9 & 10
• Series 63 65 and/or 66 as required by state
• Ability to obtain additional securities and advisory state registrations if required by state

Education

Bachelors: Accounting Bachelors: Business Administration Bachelors: Finance High School (HS) (Required)

Work Experience

General Experience - 3 to 6 years Manager Experience - 13 months to 3 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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