Sr. Branch Operations Manager-Saratoga Springs, NY

Raymond James•Saratoga Springs, NY

8d•$80,000 - $110,000•Onsite

About The Position

Under branch manager direction, this role manages the overall operational efficiency of the branch office. It directs day-to-day operational functions, ensuring compliance with firm and regulatory policies and procedures. The position uses extensive knowledge and skills obtained through education and experience to identify, research, analyze, and resolve complex issues.

Requirements

Bachelor’s degree and four 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
General Experience - 3 to 6 years
Manager Experience - 3 to 6 years

Nice To Haves

s10 - General Securities Sales Supervisor - General Module Examination - Financial Industry Regulatory Authority (FINRA)
S65 - Uniform Investment Adviser 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.