Branch Operations Manager

Raymond James•Louisville, KY

18h•Onsite

About The Position

The Branch Operations Manager performs back-up for all operational functions as required by workloads and absences. This role works directly with home office personnel to coordinate branch-home office workflow, completes self-audits of branch procedures, and assists the Branch Manager with confidential matters, compliance visits, and replies. The manager also assists with controlling expenses, operating at peak efficiencies, and oversees the ordering of supplies, purchase orders, and postage usage. This position maintains accounting of branch petty cash, may review branch invoices and operating statements, and researches and resolves complex problems relating to client accounts and inquiries. Additionally, the Branch Operations Manager assists the Branch Manager in disseminating information at regular branch meetings, coordinates rent, facility, office maintenance, and cleaning/security issues. A key responsibility is recruiting, selecting, orienting, training, and supervising branch operations associates. This includes conducting ongoing performance management, scheduled performance appraisals, and salary reviews of operations associates, and maintaining branch associate files. The role involves reviewing the daily work of operations associates, evaluating workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow, and ensuring daily staffing levels and cross-training are adequate. The manager also coordinates registrations, continuing education, licensing, etc., of branch personnel and performs other duties and responsibilities as assigned. This role 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
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 - 13 months to 3 years
s10 - General Securities Sales Supervisor - General Module 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)

Nice To Haves

Bachelor’s: Accounting
Bachelor’s: Business Administration
Bachelor’s: Finance

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.