Complex Manager

Job Description

** Job Summary*
* Oversee the day-to-day operations of multiple Raymond James & Associates (RJA) retail branches that are combined to form a functional group. May service clients in his/her own book of business.

** Essential Duties and Responsibilities*
* + Assists Resident Manager at each branch with the following activities:

+ Attracts, selects, orients, trains, and retains Financial Advisors (FAs) and support staff.

+ Supervises daily trading and other office activities.

+ 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.

+ Continually evaluates complex 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.

+ May service clients in his/her own book of business.

+ Participates in community affairs as a representative of the firm.

+ Performs other duties and responsibilities as assigned.

** Knowledge of*
* + 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.

** Skill in*
* + 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.

** Ability to*
* + 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.

** Education/Previous Experience*
* + 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.

** Licenses/Certifications*
* + 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 in the branches.