Branch Operations Manager

Janney • Houston, TX

4d

About The Position

The Branch Operations Manager is responsible for the oversight of all client activities within the Complex (group of branches). The Branch Operations Manager will work closely with the Compliance, Legal and Operations departments. Additionally, this individual will coordinate any compliance, legal and operational matters involving the Complex with Home Office, Compliance, Legal and other staff in the firm. The Branch Operations Manager will work closely with the Complex Manager and will apprise the Complex Manager daily of any problems or any items requiring the direct involvement of the Complex Manager. The Branch Operations Manager will work closely with the Compliance department staff to insure that the Complex is in compliance with all firm policies, and industry rules and regulations. The Branch Operations Manager will also coordinate all Complex audits with the Compliance department and is actively involved in implementing any corrective steps if they are needed. Actively seek out and maintain an advanced knowledge base on all products and services, technology, forms and systems. Conduct regular staff meetings as a forum for training on new policies and procedures, and any new FINRA, state rules or regulations. Will assist the Complex Manager in screening new Financial Advisor candidates and may be involved in the on-boarding of new Financial Advisors.

Requirements

• High School diploma
• Series 7, 9 and 10, 63, 65 and/or 66
• Excellent customer service skills
• Computer skills in Word, Excel, PowerPoint and Outlook
• Able to work effectively in a fast paced, deadline oriented environment
• Strong attention to detail
• Able to work effectively as part of a team
• High ethical standards

Nice To Haves

• Bachelor’s Degree preferred

Responsibilities

• Review and approve new account forms, client letters of authorization, all sales correspondence - both written and electronic.
• Review daily sales transaction, daily blotter and all daily exception reports for the entire Complex.
• Coordinate any compliance, legal and operational matters involving the Complex with Home Office, Compliance, Legal and other staff in the firm.
• Coordinate all Complex audits with the Compliance department and is actively involved in implementing any corrective steps if they are needed.
• Actively seek out and maintain an advanced knowledge base on all products and services, technology, forms and systems.
• Conduct regular staff meetings as a forum for training on new policies and procedures, and any new FINRA, state rules or regulations.
• Assist the Complex Manager in screening new Financial Advisor candidates and may be involved in the on-boarding of new Financial Advisors.

Benefits

• Paid Parental Leave
• generous Paid Time Off
• eligibility for a $2,000 referral bonus
• Employee Ownership
• Professional Development Assistance Plan

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: High school or GED