Branch Manager-Palm Beach Gardens, FL

RAYMOND JAMES FINANCIAL - West Palm Beach, FL (30+ days ago)3.9

Full-timeEstimated: $58,000 - $79,000 a year


Job 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.

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, Skills, and Abilities:
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.
Educational/Previous Experience Requirements:
  • Bachelor’s degree (B.A.) from four-year college or university, and a minimum of three (3) years experience in a financial services firm.
  • An equivalent combination of experience, education, and/or training as approved by Human Resources.
  • SIE required provided that an exemption or grandfathering cannot be applied.
  • Series 7, 9, 10, 24
  • Life, Health, and Variable Annuity Insurance Licenses.
  • NFA Commodities License required if any commodities trading is done at the branch.