Branch Administrative Manager

Raymond James•Carmel, IN

17h•Onsite

About The Position

Job Description Summary Job Description Responsibilities Recruits, selects, orients, trains and supervises branch 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 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. Assists with daily trading and other office activities. Assists with reviews of client accounts and resolution of client complaints. May assist in the development and monitoring office revenue and expense budgets. May assist Branch Manager in managing their book of business. May be responsible for ensuring compliance with firm and regulatory policies and procedures including but not limited to daily trade blotters, MARS reports, incoming client correspondence, new account form approvals, and advertising approvals. Assists Branch Manager in disseminating information at regular branch meetings. Performs other duties and responsibilities as assigned. May perform some Branch Manager duties. Education/Experience Requirements Bachelor’s degree and five years’ experience in the financial services industry, including related operational management and supervisory experience ~or~ An equivalent combination of experience, education and/or training as approved by Human Resources Licenses Required SIE required provided that an exemption or grandfathering cannot be applied Series 7 Series 9 & 10 if required by business unit Series 63, 65 and/or 66 as required by state Ability to obtain additional securities and advisory state registrations if required by state Education Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance, High School (HS) (Required) Work Experience General Experience - 3 to 6 years, Manager Experience - 3 to 6 years Certifications s10 - General Securities Sales Supervisor - General Module Examination - Financial Industry Regulatory Authority (FINRA), s66 - Uniform Combined State Law Examination - Financial Industry Regulatory Authority (FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA), s9 - General Securities Sales Supervisor - Options Module Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) Travel Less than 25% Workstyle Resident 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. We expect our associates at all levels to: Grow professionally and inspire others to do the same 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 At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. #LI-AC1

Requirements

Bachelor’s degree and five years’ experience in the financial services industry, 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
Series 9 & 10 if required by business unit
Series 63, 65 and/or 66 as required by state
Ability to obtain additional securities and advisory state registrations if required by state
High School (HS) (Required)
General Experience - 3 to 6 years
Manager Experience - 3 to 6 years
s10 - General Securities Sales Supervisor - General Module Examination - Financial Industry Regulatory Authority (FINRA)
s66 - Uniform Combined State Law Examination - Financial Industry Regulatory Authority (FINRA)
s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA)
s9 - General Securities Sales Supervisor - Options Module Examination - Financial Industry Regulatory Authority (FINRA)
Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Responsibilities

Recruits, selects, orients, trains and supervises branch 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 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.
Assists with daily trading and other office activities.
Assists with reviews of client accounts and resolution of client complaints.
May assist in the development and monitoring office revenue and expense budgets.
May assist Branch Manager in managing their book of business.
May be responsible for ensuring compliance with firm and regulatory policies and procedures including but not limited to daily trade blotters, MARS reports, incoming client correspondence, new account form approvals, and advertising approvals.
Assists Branch Manager in disseminating information at regular branch meetings.
Performs other duties and responsibilities as assigned.
May perform some Branch Manager duties.