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:
- 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.
- 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.
Educational/Previous Experience Requirements:
- 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.
- 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.