Branch Manager

Raymond James•Athens, GA

9d•Onsite

About The Position

Under general direction and with a high level of autonomy, this role uses extensive knowledge and skills obtained through education and experience to manage 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. This position may operate within a complex of branches.

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

Nice To Haves

Bachelor’s: Accounting
Bachelor’s: Business Administration
Bachelor’s: Finance

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.