Branch Operations Manager - Burlington, VT, Latham, NY or Saratoga Springs, NY

Branch Operations Manager – Burlington, VT, Latham, NY, or Saratoga Springs, NY

Under branch manager direction, manage the overall operational efficiency of the branch office. Direct day‑to‑day operational functions, ensure compliance with firm and regulatory policies, and use extensive knowledge to identify, research, analyze, and resolve complex issues.

• Perform back‑up for all operational functions as required by workload and absences.
• Coordinate branch–home office workflow and complete self‑audit of branch procedures.
• Assist the Branch Manager with confidential matters, compliance visits, and expense control.
• Oversee ordering of supplies, purchase orders, postage usage, and maintain accounting of branch petty cash.
• Review branch invoices and operating statements.
• Resolve complex problems relating to client accounts and inquiries.
• Assist in disseminating information at regular branch meetings.
• Coordinate rent, facility, office maintenance, cleaning and security issues.
• Recruit, orient, train, and supervise operations associates.
• Conduct ongoing performance management, scheduled appraisals, salary reviews, and maintain associate files.
• Review daily work of associates and evaluate workload to determine necessary assignment changes.
• Ensure daily staffing levels and cross‑training are adequate.
• Coordinate registrations, continuing education and licensing of branch personnel.
• Perform other duties and responsibilities as assigned; may perform some Branch Manager duties.

• Bachelor’s degree and three years’ experience in the financial services industry, preferably with operational management and supervisory experience.
• Or an equivalent combination of experience, education and/or training approved by Human Resources.

• SIE (if not exempt or grandfathered).
• 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.

• Bachelor’s in Accounting, Business Administration, or Finance.

• General Experience – 3 to 6 years.
• Manager Experience – 13 months to 3 years.

• General Securities Sales Supervisor (S10) – General Module Examination (FINRA)
• Uniform Combined State Law Examination (S66) – FINRA
• General Securities Representative Examination (S7) – FINRA
• General Securities Sales Supervisor – Options Module Examination (S9) – FINRA
• Securities Industry Essentials Exam (SIE) – FINRA

$80,000.00 – $

Less than 25%

Resident

Mid‑Senior level

Full‑time

Management and Manufacturing

At Raymond James, our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client‑first, integrity, independence, and a conservative, long‑term view.

• Grow professionally and inspire others.
• 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.

The Company is an equal‑opportunity employer and makes all employment decisions on the basis of merit and business needs.