Branch Manager

Stifel-posted 2 days ago
Full-time • Manager
Great Falls, MT
5,001-10,000 employees
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The Branch Manager (BM) supervises the individual Financial Advisor (FA) businesses within their branch and manages all support staff daily. This position is responsible for growing the branch through recruitment, finding new business, and cultivating existing business. This position also performs the duties of a Financial Advisor providing investment services to their clients.

  • Supervise Financial Advisor businesses to identify patterns and trends, and mitigate risk, exposure, or loss; be familiar with underlying clients through documented client meetings, management letters, and calls.
  • Ensure each Financial Advisor's business operates alongside the client's best interests through interactive client dialogue and correspondence.
  • Direct the hiring, training, performance management, coaching, counseling, and employee relations for branch support staff, including the strategic allocation to support FA businesses.
  • Develop and execute strategies to identify, prospect, and recruit Financial Advisors with an established and clean business in an effort to grow branch revenue and develop a pipeline of potential recruits.
  • Leverage professional network, community engagement opportunities, and referrals to find new businesses and cultivate existing business.
  • Review and approve supervisory reports and documentation for the Financial Advisors; liaise with the Firm's Home Office on escalated business reviews, trade matters, email surveillance, investment transaction approvals/rejections, and generate reports as requested.
  • Perform the duties of a Financial Advisor by engaging with clients and prospects to identify their financial profile, provide clients with investment services that will align with their objectives and tolerance, and help them achieve their financial goals.
  • Branch administration including budget and expenses, time card review, facilities management, and response to escalated customer, compliance, and legal matters.
  • Stay current with industry trends and changes as well as all industry rules and regulations, policies and procedures, and Firm training and continuing education.
  • Identify matters that require escalation, including suspicious activity, customer complaints, trading errors, and violation of industry regulation or Firm policy.
  • Proven success in establishing rapport with clients, and building and maintaining mutually beneficial, long-term relationships.
  • Strong knowledge of management principles involved in workforce planning, leadership, and allocation of people and resources.
  • Highly skilled in supervising investment businesses and ensuring the client's best interests.
  • Ability to effectively communicate information verbally and in writing, especially information that is not easily understood.
  • In-depth understanding of the Financial Services industry, domestic and international markets, and applicable regulatory environment.
  • Thorough understanding of investment portfolios, products, and services and how to utilize them with individual clients.
  • Integrity to perform job functions ethically within the boundaries of the regulatory environment.
  • Minimum Required: High School degree or equivalent.
  • Minimum Required: 5+ years' of Financial Services/Brokerage experience.
  • Minimum Required: FINRA Series 7 and Series 63 and 65 or Series 66; Series 8 or 9 and 10.
  • Other licenses may be required based on branch businesses.
  • Proficient in Microsoft Excel, Word, PowerPoint, and Outlook.
  • comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.
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