Branch Manager

Position: Branch Manager I
## Branch Manager IApplylocations:
Denver, Colorado - United Statestime type:
Full time posted on:
Posted Todayjob requisition :
R-0011353
** 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
*** Company’s 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
*** Bachelor’s 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
* * Bachelor’s:
Accounting, Bachelor’s:
Business Administration, Bachelor’s:
Finance
** Work Experience
** General Experience - 6 to 10 years, Manager Experience - 3 to 6 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…