Branch Operations Manager; Alpharetta, GA

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.

• Bachelor’s 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.

• 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.