Branch Manager

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.

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

• 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.

• 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.

• 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.

• 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.

• 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

• 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.

Bachelor’s:
Accounting, Bachelor’s:
Business Administration, Bachelor’s:
Finance

General Experience - 6 to 10 years, Manager Experience - 3 to 6 years

• 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)
• Security Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

$57,783.96-$

Less than 25%

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…