Branch Manager (Beverly Hills, CA)

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: Accounting (Required), Bachelor’s: Business Administration, Bachelor’s: Finance

Work Experience