Branch Operations Manager

Raymond James•Waukesha, WI

1d•Onsite

About The Position

Under the direction of the Branch Manager, the Branch Operations Manager manages the overall operational efficiency of the branch office. The role directs day-to-day operational functions and ensures compliance with firm and regulatory policies and procedures. It uses extensive knowledge and skills gained through education and experience to identify, research, analyze, and resolve complex issues. The position supports branch operations and the Branch Manager, including coordination with home-office personnel, self-audits, expense control, supplies and facilities, client account inquiries, and branch meetings. It also recruits, trains, supervises, and evaluates branch operations associates; maintains appropriate staffing and cross-training; and coordinates personnel registrations, continuing education, and licensing. The position may perform some Branch Manager duties. The position requires a bachelor’s degree and three years of financial-services-industry experience, preferably including related operational management and supervisory experience, or an equivalent combination of experience, education, and/or training approved by Human Resources. Required securities registrations include the SIE (unless an exemption or grandfathering applies), Series 7, 9, and 10, and Series 63, 65, and/or 66 as required by state. Additional securities and advisory state registrations may be required. Travel is less than 25%, and the workstyle is resident. Total compensation includes base salary or wages and may include additional compensation, discretionary bonuses, or commissions. Eligible benefits may include medical, dental, and vision coverage; life, critical illness, and accident insurance; disability benefits; retirement savings; paid time off, including vacation, holidays, and sick leave; and parental leave. Eligibility and specific offerings may vary by position and employment status.

Requirements

Bachelor’s degree and three years of financial services industry experience, preferably including related operational management and supervisory experience, or an equivalent combination of experience, education, and/or training approved by Human Resources.
SIE, unless an exemption or grandfathering can be applied.
Series 7, Series 9, and Series 10.
Series 63, 65, and/or 66 as required by state.
Ability to obtain additional securities and advisory state registrations if required by state.
Work experience listed: 3 to 6 years of general experience and 13 months to 3 years of manager experience.

Nice To Haves

Related operational management and supervisory experience in the financial services industry.

Responsibilities

Backs up operational functions as required by workload and absences.
Works with home-office personnel to coordinate branch and home-office workflow.
Completes self-audits of branch procedures.
Assists the Branch Manager with confidential matters, compliance visits, and replies.
Assists the Branch Manager with expense control and efficient branch operations.
Oversees ordering supplies, purchase orders, and postage usage.
Maintains branch petty-cash accounting.
May review branch invoices and operating statements.
Researches and resolves complex problems involving client accounts and inquiries.
Assists the Branch Manager in disseminating information at regular branch meetings.
Coordinates rent, facilities, office maintenance, and cleaning and security issues.
Recruits, selects, orients, trains, and supervises branch operations associates.
Works with the Branch Manager on ongoing performance management, scheduled performance appraisals, and salary reviews for operations associates, and maintains associate files.
Reviews the daily work of operations associates.
Evaluates support-staff workloads and responsibilities and recommends assignment changes to maintain efficient workflow.
Ensures adequate daily staffing and cross-training.
Coordinates branch personnel registrations, continuing education, and licensing.
Performs other assigned duties and responsibilities; may perform some Branch Manager duties.