Branch Operations Manager Trainee

Raymond James•Louisville, KY

8d•Onsite

About The Position

Learn how to manage the overall operational efficiency of the branch office. Through various training mechanisms, gain knowledge of day-to-day operational functions and how to ensure compliance with firm and regulatory policies and procedures.

Requirements

Comprehensive understanding of company policies and procedures and industry rules and regulations.
Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Ability to handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.
Ability to project a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.
Good analytical skills to be able to research account information and resolve problems.
Ability to establish and communicate clear directions and priorities.
Good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel.
Ability to establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.
Ability to effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
Ability to work independently, under minimal supervision.
Bachelors degree from four-year college or university in related field and a minimum of one (1) year experience in the financial services industry, preferably including related operational management and supervisory experience.
Any 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 66 (or 63 and 65) required.
Ability to obtain Series 9 & 10 within six (6) months of hire.
Ability to obtain additional securities and advisory state registrations if required by state.
General Experience - 7 to 12 months

Nice To Haves

May perform some Branch Manager duties if Series 9 & 10 licensed.

Responsibilities

Perform back-up for all operational functions as required by workloads and absences.
Work directly with home office personnel to coordinate branch-home office workflow.
Complete self-audit of branch procedures.
Assist Branch Manager with confidential matters and compliance visits and replies.
Assist Branch Manager with controlling expenses and operating at peak efficiencies.
Oversee ordering of supplies, purchase orders and postage usage.
Review branch invoices and operating statements.
Maintain branch operational manuals.
Research and resolve complex problems relating to client accounts and inquiries.
Assist Branch Manager in disseminating information at regular branch meetings.
Coordinate rent, facility, office maintenance and cleaning/security issues.
Recruit, select, orient, train and supervise branch operations associates.
Conduct ongoing performance management, scheduled performance appraisals and salary reviews of operations associates, and maintain branch personnel files.
Review daily work of operations associates.
Evaluate workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow.
Ensure daily staffing levels and cross-training are adequate.
Coordinate registrations, continuing education, licensing, etc. of branch personnel.
Perform other duties and responsibilities as assigned.