Branch Support Manager

Responsibilities

• Supervise less experienced roles in transactional tasks and processes to ensure timely completion, quality, and compliance
• Identify opportunities for process improvement and risk control development in less complex functional areas
• Make day to day supervisory decisions and resolve issues related to team supervision, work allocation, and daily operations
• Leverage interpretation of policies, procedures, and compliance requirements
• Collaborate and consult with peers, colleagues, and mid-level managers as well as interact directly with external customers
• Manage allocation of people and financial resources for Brokerage Support
• Mentor and guide talent development of direct reports and assist in hiring talent

• 4+ years of Securities industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 1+ years of leadership experience
• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
• Knowledge and understanding of Brokerage Industry, products, and operational procedures
• Excellent verbal, written, and interpersonal communication skills in both team settings and in-person to support the Market
• Understanding of brokerage branch exams and regulatory requirements from an operational support perspective
• Client service centric for our internal and external customers
• Strong attention to detail and accuracy
• Proven ability to prioritize tasks, stay organized, and manage competing demands in a fast-paced environment
• Series 9/10 licensing