Branch Manager (Dallas, TX)

Benefits

Additional Information

Job Description Summary Under general direction and with a high level of autonomy uses extensive knowledge and skills obtained through education and experience to manage a retail branch office of Raymond James and Associates. Manages the compliance oversight, ensuring adherence to firm and regulatory policies and procedures. May operate within a complex of branches. Job Description Essential Duties and Responsibilities - Evaluates branch structure and strategic plan, including future growth as needed, to promote overall efficiency and profitability while maintaining a commitment to excellent service. Develops and implements plans to meet office sales goals. - Responsible for compliance oversight and ensuring adherence to firm and regulatory policies and procedures. - Performs reviews of client accounts and documents and resolves client complaints. - Coordinates registrations, continuing education, licensing, etc. of branch personnel. - Oversees daily trading and other office activities. - Supervises daily trading and other office activities. - Facilitates sales promotion activities such as seminars and luncheons/dinners as well as inform FA's about new products and RJA managed underwritings. - Develops and monitors office revenue and expense budgets. - May attract, select, orient, train, and retain Financial Advisors (FAs) and support staff. - May conduct ongoing performance appraisals, scheduled performance appraisals and salary reviews of operations associates, and maintains branch associate files. - May review daily work of associates; evaluate workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow. - May ensure daily staffing levels and cross-training is adequate. - Participates in community affairs as a representative of the firm. - Services clients in his/her own book of business. - Performs other duties and responsibilities as assigned. Knowledge of - Company's working structure, policies, mission, strategies, and compliance guidelines. - Economic and accounting principles and practices, the financial markets, banking, and analysis and reporting of financial data. - Legal requirements and federal and state regulations related to employment. Skill in - Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. - Preparing and delivering clear, effective, and professional presentations. - Identifies the needs of customers through effective questioning and listening techniques. Ability to - Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude. - Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes. - Project a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment. - Continuously learn investment products, industry rules and regulations, and financial planning. - Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment. - Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels. - Articulate reasons behind decisions. - Keep all appropriate parties up-to-date on decisions, changes, and other relevant information. - Establish and maintain effective working relationships with others. - Identify problems, gather facts, and develop solutions. Education/Previous Experience - Bachelor's degree (B.A.) from four-year college or university, and a minimum of three (3) years experience in a financial services firm. OR ~ - An equivalent combination of experience, education, and/or training as approved by Human Resources. Licenses/Certifications - SIE required provided that an exemption or grandfathering cannot be applied. - Series 7 and 9 & 10 (or 8) required. - Series 63 & 65, or 66 as required by state. - Life, Health, and Variable Annuity Insurance Licenses. - NFA Commodities License required if any commodities trading is done at the branch. Education Bachelor's (Required) Work Experience General Experience - 10 to 15 years, Manager Experience - 6 to 10 years Certifications 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 Auth