Complex Administrative Manager - Saratoga Springs, NY

Raymond James•Saratoga Springs, NY

1d•$100,000 - $150,000•Onsite

About The Position

Under administrative direction, manage the overall efficiency and supervision of the complex branch offices. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with some latitude for unreviewed actions or decisions. Uses extensive knowledge and skills obtained through education and experience to identify, research, analyze and resolve complex issues.

Requirements

Bachelor’s degree and a minimum of six years’ experience in the financial services industry, including related operational, administrative management and supervisory experience
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: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance
General Experience - 6 to 10 years
Manager Experience - 3 to 6 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

An equivalent combination of experience, education and/or training as approved by Human Resources

Responsibilities

Recruits, selects, trains and supervises operations support associates in multiple branches.
Manages all administrative matters in the hiring/termination of financial advisors and trainees, and their transition in and out of the branches.
Conducts ongoing performance management, scheduled performance appraisals and salary reviews of branch support associates (Complex Manager may be involved), and maintains associate files.
Monitors daily work of associates evaluating workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow.
Ensures daily staffing levels and cross-training is adequate.
Conduct staff meetings at multiple branches.
Coordinates registrations, continuing education, licensing, etc. of associates.
Maintains records of all complaints and ensures all E&Os are filed and responses are completed.
Apprises Complex Manager of all appropriate matters, and assists with disseminating information to associates.
Acts as Resident Manager or Rep in Charge when required.
Participates in the physical establishment of complex expansion ventures such as satellites or new branches, as well as existing branch moves.
Monitors alerts and supervises any necessary follow-up.
Assists Complex Manager with controlling expenses and operating at peak efficiencies.
Assists in the development and monitoring of office revenue and expense budgets.
Tracks, reviews and approves expense reports, marketing allowances/expenses and other complex expenses/charge backs.
May assist Complex Manager in managing their book of business.
May be responsible for ensuring compliance with firm and regulatory policies and procedures.
May oversee office maintenance, cleaning and security issues.
Performs other duties and responsibilities as assigned; may perform some Complex Manager duties.