Supervisory Branch Operations Manager

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning 90 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better.

Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report.

We are currently seeking a motivated, detail-focused Supervisory Branch Operations Manager to support our Financial Advisors (FAs) across multiple branches. This position partners with the Branch Manager (BOM) to ensure branch operations run smoothly and remain compliant with company policies, procedures, and securities industry rules and regulations.

• Applicable industry exams:
  Series 7, 65 or 66, 24, 9 and/or 10.
• Prior supervisory experience.
• General knowledge of accounting principles.
• Thorough knowledge of Company policies and procedures.
• Seasoned experience in the securities industry, knowledge of industry rules and regulations.
• Strong interpersonal skills.
• Strong organizational skills and attention to detail.
• Ability to operate a PC and work in an automated environment.
• Thorough knowledge of securities industry rules and regulations.
• Familiar with Microsoft Word, Excel and Outlook.
• Excellent communication skills, both oral and written.
• Follow policies and procedures. Maintain client confidentiality.
• Communicate in a clear and service oriented manner. Use appropriate, professional language and grammar to effectively exchange ideas and information.
• Ability to proactively work with both external and internal clients. Relate with others in a professional manner in order to accomplish work responsibilities and objectives.
• Ability to maintain regular, predictable attendance.

• Coordinate the work activities of the branch support staff to contribute to efficient and effective branch operations. Work with the Branch Manager to determine the staffing needs for individual FAs and other branch office positions.
• Initiate and review support staff training to assure peak productivity levels for all support staff within the branches. Coordinate all training and advanced training of newly hired employees and experienced support staff.
• Implement and assure compliance with all Human Capital policies. Serve as a liaison between Human Capital and the branches. Participate in compensation review of support staff personnel; make recommendations as requested by the Branch Manager. Review and advise on quarterly staff ratio reports.
• Assist in the investigation of employee complaints and personnel issues to include progressive disciplinary action, sexual harassment and discrimination situations and terminations. Work with Human Capital until a satisfactory resolution is obtained.
• Participate in the hiring and management of all branch office support staff. Deliver the new employee paperwork and follow up until completed to initiate the background check and on boarding process. Facilitate new employee processing and process employment records.
• Monitor and approve payroll time entries, weekly on the automated payroll system.
• Oversee the cashiering functions in the branch(es) to ensure compliance with Company policies and procedures to included training or re‑training cashier personnel, processing new account forms, incoming and outgoing funds, transfers etc. Designate, serve as backup or personally perform the operations duties of the branch if the size of the office dictates it.
• Work with the Branch Manager and Sales/Operations Liaison to coordinate the transition of new FAs. Coordinate the HR processes, the ordering of supplies and equipment, the account transfer process, training etc. to ensure a smooth transition.
• Assist in the opening of new satellite offices. Coordinate the ordering of supplies, office equipment, office furniture,…