Branch Operations Manager - Charleston, SC/Savannah, GA

Raymond James•Charleston, SC

1d•Onsite

About The Position

Under the direction of the Branch Manager, the Branch Operations Manager is responsible for managing the overall operational efficiency of the branch office. This role involves directing day-to-day operational functions, ensuring compliance with firm and regulatory policies and procedures. The manager will use extensive knowledge and skills to identify, research, analyze, and resolve complex issues. Key aspects of the position include performing back-up for all operational functions, coordinating workflow with the home office, completing self-audits of branch procedures, and assisting the Branch Manager with confidential matters, compliance visits, replies, expense control, and operating at peak efficiencies. The role also encompasses overseeing office supplies, purchase orders, postage usage, maintaining petty cash, reviewing branch invoices and operating statements, and resolving complex client account problems and inquiries. Furthermore, the Branch Operations Manager assists in disseminating information at branch meetings, coordinates facility maintenance and security issues, and is responsible for recruiting, selecting, orienting, training, and supervising branch operations associates. This includes conducting performance management, appraisals, and salary reviews, maintaining associate files, reviewing daily work, evaluating workloads, and ensuring adequate staffing and cross-training. The manager also coordinates registrations, continuing education, and licensing for branch personnel and may perform some Branch Manager duties.

Requirements

Bachelor’s degree and three years’ experience in the financial services industry, preferably including related operational management and supervisory experience ~or~ 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, 9 & 10
Series 63, 65 and/or 66 as required by state
Ability to obtain additional securities and advisory state registrations if required by state
Bachelor’s degree in Accounting, Business Administration, or Finance
General Experience - 3 to 6 years
Manager Experience - 13 months to 3 years
s10 - General Securities Sales Supervisor - General Module Examination - Financial Industry Regulatory Authority (FINRA)
s63 - Uniform Securities Agent State Law Examination - Financial Industry Regulatory Authority (FINRA)
s66 - Uniform Combined State Law Examination - Financial Industry Regulatory Authority (FINRA)
s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA)
s9 - General Securities Sales Supervisor - Options Module Examination - Financial Industry Regulatory Authority (FINRA)
Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Responsibilities

Performs back-up for all operational functions as required by workloads and absences.
Works directly with home office personnel to coordinate branch-home office workflow.
Completes self-audit of branch procedures.
Assists Branch Manager with confidential matters and compliance visits and replies.
Assists Branch Manager with controlling expenses and operating at peak efficiencies.
Oversees ordering of supplies, purchase orders and postage usage.
Maintains accounting of branch petty cash.
May review branch invoices and operating statements.
Researches and resolves complex problems relating to client accounts and inquiries.
Assists Branch Manager in disseminating information at regular branch meetings.
Coordinate rent, facility, office maintenance and cleaning/security issues.
Recruits, selects, orients, trains and supervises branch operations associates.
In conjunction with the Branch Manager conducts ongoing performance management, scheduled performance appraisals and salary reviews of operations associates, and maintains branch associate files.
Reviews daily work of operations associates.
Evaluates workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow.
Ensures daily staffing levels and cross-training is adequate.
Coordinates registrations, continuing education, licensing, etc. of branch personnel.
Performs other duties and responsibilities as assigned.
May perform some Branch Manager duties