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, potentially within a complex of branches. The role oversees compliance and ensures the branch adheres to firm and regulatory policies and procedures. The Branch Manager may also serve clients through a personal book of business. The position manages branch strategy, sales goals, budgets, personnel, trading, and daily office activities while maintaining efficient operations and excellent client service. It also supports the development and performance of Financial Advisors and support staff, represents the firm in community affairs, and performs other assigned duties. The role is resident in Phoenix, Arizona, with travel of less than 25%.

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/or training approved by Human Resources.
SIE required unless an exemption or grandfathering applies.
Series 7 and Series 9 and 10, or Series 8, required.
Series 63 and 65, or Series 66, as required by the state.
Life, Health, and Variable Annuity Insurance licenses.
NFA Commodities License required if commodities trading is conducted 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 financial data analysis and reporting.
Knowledge of legal requirements and federal and state employment regulations.
Skill in operating standard office equipment and required software for correspondence, reports, electronic communications, spreadsheets, and databases.
Skill in preparing and delivering 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-quality customer service.
Ability to establish and maintain a respected leadership position and influence, motivate, and persuade others to achieve desired outcomes.
Ability to maintain a professional and pleasant appearance and demeanor and use tact and diplomacy with clients in a deadline-driven environment.
Ability to continuously learn investment products, industry rules and regulations, and financial planning.
Ability to organize and track multiple detailed tasks and assignments amid changing priorities and deadlines in a fast-paced environment.
Ability to communicate effectively, orally and in writing, with all organizational levels.
Ability to explain the reasons behind decisions and keep appropriate parties informed of decisions, changes, and relevant information.
Ability to establish and maintain effective working relationships.
Ability to identify problems, gather facts, and develop solutions.

Responsibilities

Evaluate branch structure and strategic plans, including future growth, to promote efficiency and profitability while maintaining 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 branch personnel registrations, continuing education, and licensing.
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 RJA-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 evaluate support staff workloads and responsibilities to determine assignment changes needed for efficient workflow.
May ensure adequate daily staffing levels and cross-training.
Participate in community affairs as a representative of the firm.
Service clients through a personal book of business.
Perform other duties and responsibilities as assigned.

Benefits

Medical insurance
Dental insurance
Vision insurance
Life insurance
Critical illness insurance
Accident insurance
Disability benefits
Retirement savings
Paid time off, including vacation, holidays, and sick leave
Parental leave
Additional compensation may include cash or equity, discretionary bonuses, or commissions