Branch Manager (Phoenix, AZ)

Raymond James•Scottsdale, AZ

1d•Onsite

About The Position

Under general direction and with a high level of autonomy, the Branch Manager uses extensive knowledge and skills obtained through education and experience to manage a Raymond James and Associates retail branch office. The role oversees compliance and ensures adherence to firm and regulatory policies and procedures; it may operate within a complex of branches. The Branch Manager evaluates branch structure and strategic plans, including plans for future growth, to promote efficiency, profitability, and excellent service. The role oversees office sales goals, budgets, daily trading and other office activities, client account and document reviews, client complaints, branch personnel licensing and continuing education, and may recruit, train, and manage Financial Advisors and support staff. The position may also maintain a personal book of business and represent the firm in community affairs. The role requires knowledge of the firm's structure, policies, mission, strategies, and compliance guidelines; financial markets and accounting principles; and relevant employment laws and regulations. The Branch Manager uses office software and equipment, prepares and delivers presentations, and applies leadership, communication, organization, problem-solving, and customer-service skills in a deadline-driven environment. A bachelor's degree and at least three years of experience in a financial services firm are required, or an equivalent combination of experience, education, and training approved by Human Resources. Required licenses include the SIE unless exempt or grandfathered, Series 7 and 9 & 10 (or 8), Series 63 & 65 or 66 as required by state, and Life, Health, and Variable Annuity Insurance licenses. An NFA Commodities License is required if commodities trading occurs at the branch. Travel is less than 25%. This is a resident workstyle position. The total compensation includes base salary or wages and may include additional compensation, discretionary bonuses, or commissions. The position is eligible for a benefits package, with eligibility and specific offerings varying by position and employment status.

Requirements

Bachelor's degree from a four-year college or university and at least three years of experience in a financial services firm, or an equivalent combination of experience, education, and training approved by Human Resources.
SIE, unless an exemption or grandfathering applies.
Series 7 and Series 9 & 10, or Series 8.
Series 63 and 65, or Series 66, as required by state.
Life, Health, and Variable Annuity Insurance licenses.
NFA Commodities License if commodities trading is done at the branch.
Knowledge of company structure, policies, mission, strategies, and compliance guidelines.
Knowledge of economic and accounting principles and practices, financial markets, banking, and analysis and reporting of financial data.
Knowledge of legal requirements and federal and state regulations related to employment.
Ability to operate standard office equipment and use required software to produce correspondence, reports, electronic communications, spreadsheets, and databases.
Ability to prepare and deliver clear, effective, professional presentations.
Ability to identify customer needs through effective questioning and listening.
Ability to handle stressful situations and lead others in providing calm, professional, high-level customer service.
Ability to establish and maintain leadership, influence and motivate others, and achieve desired outcomes.
Professional and pleasant appearance and demeanor, with tact and diplomacy in a deadline-driven environment.
Ability to continuously learn investment products, industry rules and regulations, and financial planning.
Ability to organize, manage, and track multiple detailed tasks and assignments amid changing priorities and deadlines.
Effective oral and written communication with all organizational levels.
Ability to articulate reasons behind decisions and keep relevant parties informed of decisions, changes, and other information.
Ability to establish effective working relationships and identify problems, gather facts, and develop solutions.

Responsibilities

Evaluate branch structure and strategic plans, including future growth, to promote efficiency, profitability, and excellent service.
Develop and implement plans to meet office sales goals.
Oversee compliance and ensure adherence to firm and regulatory policies and procedures.
Review client accounts and documents and resolve client complaints.
Coordinate registrations, continuing education, licensing, and related matters for branch personnel.
Oversee and supervise daily trading and other office activities.
Facilitate sales promotions, including seminars and luncheons or dinners, and inform Financial Advisors about new products and Raymond James & Associates managed underwritings.
Develop and monitor office revenue and expense budgets.
May attract, select, orient, train, and retain Financial Advisors and support staff.
May conduct performance appraisals and salary reviews for operations associates and maintain branch associate files.
May review associates' daily work and assess support-staff workloads and responsibilities to maintain efficient workflow.
May ensure daily staffing levels and cross-training are adequate.
Participate in community affairs as a representative of the firm.
Service clients in a personal book of business.
Perform other duties and responsibilities as assigned.