Branch Manager

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

• Evaluates branch structure and strategic plan, including future growth, 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, and other training of branch personnel.
• Supervises daily trading and other office activities.
• Facilitates sales promotion activities such as seminars and luncheons/dinners and informs FAs about new products and RJA-managed underwritings.
• Develops and monitors office revenue and expense budgets.
• Attracts, selects, orients, trains, and retains Financial Advisors (FAs) and support staff.
• Conducts ongoing performance appraisals, scheduled performance appraisals, and salary reviews of operations associates and maintains branch associate files.
• Reviews daily work of 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.
• 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 company structure, policies, mission, strategies, compliance guidelines, economic and accounting principles, financial markets, banking, and financial data analysis.
• Legal requirements and federal and state regulations related to employment.
• Skilled in operating standard office equipment, using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Prepares and delivers clear, effective, and professional presentations.
• Identifies the needs of customers through effective questioning and listening techniques.
• Handles stressful situations and leads others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.
• Establishes and maintains a respected position of leadership to influence, motivate, and persuade others to achieve desired outcomes.
• Projects a professional and pleasant appearance and demeanor to work with clients; utilizes tact and diplomacy in dealing with customers in a deadline-driven environment.
• Continuously learns investment products, industry rules and regulations, and financial planning.
• Organizes, manages, and tracks multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast‑paced work environment.
• Uses appropriate interpersonal styles and communicates effectively, both orally and in writing, with all organizational levels.
• Articulates reasons behind decisions and keeps all appropriate parties up-to-date on decisions, changes, and other relevant information.
• Establishes and maintains effective working relationships with others and identifies problems, gathers facts, and develops solutions.

• Series 7, 9, 10, or 8 required.
• Series 63, 65, or 66 as required by state.
• Series 7 and 9 & 10 (or
  8) required;
  Series 63 & 65, or 66 required.
• Life, Health, and Variable Annuity Insurance Licenses.
• NFA Commodities License required if any commodities trading is performed at the branch.

• Bachelor’s degree (B.A.) from a four‑year college or university and a minimum of three (3) years of experience in a financial services firm; OR equivalent combination of experience, education, and training as approved by Human Resources.
• Relevant Bachelor’s degrees:
  Accounting, Business Administration, Finance.