Branch Manager (Dallas, TX)

Raymond James•Dallas, TX

3d•Onsite

About The Position

Under general direction and with a high level of autonomy, this role manages a retail branch office of Raymond James and Associates. The Branch Manager is responsible for compliance oversight, ensuring adherence to firm and regulatory policies and procedures, and may operate within a complex of branches. The position involves evaluating branch structure and strategic plans for efficiency and profitability, developing and implementing sales goals, and overseeing daily operations. This role also includes managing client accounts, resolving complaints, coordinating personnel licensing and education, and participating in community affairs. The Branch Manager may also be responsible for attracting, selecting, training, and retaining Financial Advisors (FAs) and support staff, conducting performance appraisals, and managing office budgets.

Requirements

Bachelor’s degree (B.A.) from four-year college or university, and a minimum of three (3) years experience in a financial services firm.
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 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 at the branch.
General Experience – 10 to 15 years
Manager Experience - 6 to 10 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

Evaluates branch structure and strategic plan, including future growth as needed, to promote overall efficiency and profitability while maintaining a commitment to excellent service.
Develops and implements plans to meet office sales goals.
Responsible for compliance oversight and ensuring adherence to firm and regulatory policies and procedures.
Performs reviews of client accounts and documents and resolves client complaints.
Coordinates registrations, continuing education, licensing, etc. of branch personnel.
Oversees daily trading and other office activities.
Supervises daily trading and other office activities.
Facilitates sales promotion activities such as seminars and luncheons/dinners as well as inform FAs about new products and RJA managed underwritings.
Develops and monitors office revenue and expense budgets.
May attract, select, orient, train, and retain Financial Advisors (FAs) and support staff.
May conduct ongoing performance appraisals, scheduled performance appraisals and salary reviews of operations associates, and maintains branch associate files.
May review daily work of associates; evaluate workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow.
May ensure daily staffing levels and cross-training is adequate.
Participates in community affairs as a representative of the firm.
Services clients in his/her own book of business.
Performs other duties and responsibilities as assigned.