Raymond James
Branch Operations Manager - Burlington, VT, Latham, NY or Saratoga Springs, NY
Raymond James, Burlington, Vermont, us, 05405
Branch Operations Manager - Burlington, VT
Job Description Summary
Under branch manager direction manage the overall operational efficiency of the branch office. Directs day to day operational functions, ensuring compliance with firm and regulatory policies and procedures. Uses extensive knowledge and skills obtained through education and experience to identify, research, analyze and resolve complex issues.
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.
Education/Experience 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.
Licenses Required
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.
Salary Range $80,000 – $95,000 per year.
Education Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance.
Work Experience General Experience - 3 to 6 years, Manager Experience - 13 months to 3 years.
Certifications
s10 - General Securities Sales Supervisor - General Module Examination - FINRA.
s66 - Uniform Combined State Law Examination - FINRA.
s7 - General Securities Representative Examination - FINRA.
s9 - General Securities Sales Supervisor - Options Module Examination - FINRA.
Securities Industry Essentials Exam (SIE) - FINRA.
Travel Less than 25%.
Workstyle Resident.
We Expect Our Associates At All Levels To
Grow professionally and inspire others to do the same.
Work with and through others to achieve desired outcomes.
Make prompt, pragmatic choices and act with the client in mind.
Take ownership and hold themselves and others accountable for delivering results that matter.
Contribute to the continuous evolution of the firm.
The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
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Under branch manager direction manage the overall operational efficiency of the branch office. Directs day to day operational functions, ensuring compliance with firm and regulatory policies and procedures. Uses extensive knowledge and skills obtained through education and experience to identify, research, analyze and resolve complex issues.
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.
Education/Experience 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.
Licenses Required
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.
Salary Range $80,000 – $95,000 per year.
Education Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance.
Work Experience General Experience - 3 to 6 years, Manager Experience - 13 months to 3 years.
Certifications
s10 - General Securities Sales Supervisor - General Module Examination - FINRA.
s66 - Uniform Combined State Law Examination - FINRA.
s7 - General Securities Representative Examination - FINRA.
s9 - General Securities Sales Supervisor - Options Module Examination - FINRA.
Securities Industry Essentials Exam (SIE) - FINRA.
Travel Less than 25%.
Workstyle Resident.
We Expect Our Associates At All Levels To
Grow professionally and inspire others to do the same.
Work with and through others to achieve desired outcomes.
Make prompt, pragmatic choices and act with the client in mind.
Take ownership and hold themselves and others accountable for delivering results that matter.
Contribute to the continuous evolution of the firm.
The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
#J-18808-Ljbffr