Supervisory Branch Operations Manager

D.A. Davidson • Pasadena, CA

9d • $110,000 - $120,000 • Onsite

About The Position

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning 90 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. We are currently seeking a motivated, detail-focused Supervisory Branch Operations Manager to support our Financial Advisors (FAs) across multiple branches. This position partners with the Branch Manager (BOM) to ensure branch operations run smoothly and remain compliant with company policies, procedures, and securities industry rules and regulations.

Requirements

• Applicable industry exams: Series 7, 65 or 66, 24, 9 and/or 10.
• Prior supervisory experience.
• General knowledge of accounting principles.
• Thorough knowledge of Company policies and procedures.
• Seasoned experience in the securities industry, knowledge of industry rules and regulations.
• Strong interpersonal skills.
• Strong organizational skills and attention to detail.
• Ability to operate a PC and work in an automated environment.
• Thorough knowledge of securities industry rules and regulations.
• Familiar with Microsoft Word, Excel and Outlook.
• Excellent communication skills, both oral and written.
• Follow policies and procedures.
• Maintain client confidentiality.
• Communicate in a clear and service oriented manner.
• Use appropriate, professional language and grammar to effectively exchange ideas and information.
• Ability to proactively work with both external and internal clients.
• Relate with others in a professional manner in order to accomplish work responsibilities and objectives.
• Ability to maintain regular, predictable attendance.

Responsibilities

• Coordinate the work activities of the branch support staff to contribute to efficient and effective branch operations.
• 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.
• Assist in the investigation of employee complaints and personnel issues to include progressive disciplinary action, sexual harassment and discrimination situations and terminations.
• 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 to included training or re-training cashier personnel, processing new account forms, incoming and outgoing funds, transfers etc.
• Work with the Branch Manager and Sales/Operations Liaison to coordinate the transition of new FAs.
• Assist in the opening of new satellite offices.
• Oversee the distribution of the morning reports to staff and FAs for review.
• Oversee the collection of the daily Mutual Fund Breakpoint Worksheet.
• 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 BM with the management office expenses.
• Assist BM with the annual budgeting process.
• Review travel and expense reports.
• Plan and execute various events for the branch(es).
• Oversee the approval of advertising for the branch(es).
• Maintain office files in compliance with company policies and procedures, branch standardization policy and industry rules and regulations.
• Investigate and review all customer complaints.
• Serve as contact person for office maintenance issues, continuity plan, keys, locks, card keys, etc.
• Oversee the maintenance of the storage room, copy centers, shredding bins, kitchen and supplies.
• Serve as the liaison to the IT department –hardware and software.
• Perform any other duties and special projects as necessary.

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
• 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: Manager
• Education Level: No Education Listed