Supervisory Branch Office Operations Manager

D.A. Davidson • Charleston, SC

74d

About The Position

D.A. Davidson, an employee-owned Financial Services firm, is seeking an exceptionally sharp, motivated and detail-oriented Supervisory Branch Office Operations Manager to join our Charleston, SC branch. In this business-critical role, you will work with the Branch Manager to lead branch staff to deliver an exceptional and compliant client experience.

Requirements

• Applicable industry exams: FINRA SIE, Series 7, 66 (or 63/65), and 9/10 (or 24/4/53)
• Prior managerial experience.
• Seasoned experience in the securities industry, knowledge of industry rules and regulations.
• Thorough knowledge of, and adherence to, Company policies and procedures.
• Strong organizational skills and attention to detail.
• Solid technology skills, including familiarity with Microsoft tools (Word, Excel, Outlook, Teams, CRM).
• Excellent communication skills, both oral and written.
• Ability to maintain regular, predictable attendance.

Responsibilities

• Coordinate the work activities of the branch support staff to contribute to efficient and effective branch operations.
• Work with the Branch Manager to determine the staffing needs for individual Financial Professionals (FP) and other branch office positions.
• Initiate and review support staff training to assure peak productivity levels for all support staff within the branches.
• Implement and assure compliance with all Human Capital policies.
• Serve as a liaison between Human Capital and the branches.
• Participate in the hiring and management of all branch office support staff.
• Monitor and approve payroll time entries, weekly on the automated payroll system.
• Oversee the cashiering functions in the branch(es) to ensure compliance with Company policies and procedures.
• Assist in the opening of new Registered Branch Offices.
• Oversee the processing of all cancel & rebills, trade corrections and any other errors.
• Serve as the primary point of contact to assist in the resolution of Operations issues.
• Participate in various weekly and monthly meetings.
• Assist BOM with the management office expenses.
• Plan and execute various events for the branch(es).
• Maintain office files in compliance with company policies and procedures.
• Perform principal-licensed supervisory functions as delegated by the BOM.
• Serve as contact person for office maintenance issues.
• Branch contact for Business Continuity Plan.

Benefits

• Medical, Dental and Vision
• Company 401(k) and ESOP contribution
• Generous sick, vacation, and maternity/parental leave
• Paid holidays
• Professional Development Opportunities
• Tuition Reimbursement ($15,000 lifetime cap)
• Discounted personal insurance including home, auto and recreational vehicles
• Charitable gift-matching program
• Davidson Day of Giving - Our tradition of positively impacting communities in which we live and work.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities