Branch Manager I

About the role

Oversee the day-to-day operations of a Raymond James & Associates (RJA) retail branch. May service clients in his/her own book of business.

Essential Duties And Responsibilities

• Arrts, selects, orients, trains, and retains Financial Advisors (FAs) and support staff.
• Continually evaluates branch structure and strategic plan, including future growth as needed, to promote overall efficiency and profitability while maintaining a commitment to excellent service.
• Responsible for compliance oversight and ensures adherence to firm and regulatory policies and procedures.
• Supervises daily trading and other office activities.
• Documents and resolves client complaints.
• Performs reviews of client accounts.
• Develops and implements plans to meet office sales goals.
• Facilitates sales promotion activities such as seminars and luncheons/dinners.
• Develops and monitors office revenue and expense budgets.
• Provides information about new products and RJA managed underwritings to FAs.
• Participates in community affairs as a representative of the firm.
• Maintains a high level of customer service.
• Organizes, manages, and tracks multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
• Uses appropriate interpersonal styles and communicates effectively, both orally and in writing, with all organizational levels.
• Articulates reasons behind decisions.
• Keeps all appropriate parties up-to-date on decisions, changes, and other relevant information.
• Establishes and maintains effective working relationships with others.
• Identifies problems, gathers facts, and develops solutions.

Knowledge

• Economic and accounting principles and practices, the financial markets, banking, and analysis and reporting of financial data.
• Laws and regulations related to employment.

Skills

• 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.
• Identifying the needs of customers through effective questioning and listening techniques.
• Continuously learning investment products, industry rules and regulations, and financial planning.
• Providing a high level of customer service.
• Organizing, managing, and tracking multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
• Using appropriate interpersonal styles and communicating effectively, both orally and in writing, with all organizational levels.
• Articulating reasons behind decisions.
• Keeping all appropriate parties up-to-date on decisions, changes, and other relevant information.
• Establishing and maintaining effective working relationships with others.
• Identifying problems, gathering facts, and developing solutions.

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, or 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 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.

Qualifications

• Knowledge of Company’s working structure, policies, mission, strategies, and compliance guidelines.

Skills

• 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.
• Identifying the needs of customers through effective questioning and listening techniques.
• Continuously learning investment products, industry rules and regulations, and financial planning.
• Providing a high level of customer service.
• Organizing, managing, and tracking multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
• Using appropriate interpersonal styles and communicating effectively, both orally and in writing, with all organizational levels.
• Articulating reasons behind decisions.
• Keeping all appropriate parties up-to-date on decisions, changes, and other relevant information.
• Establishing and maintaining effective working relationships with others.
• Identifying problems, gathering facts, and developing solutions.

Benefits

• This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.

Pay

$57,783.96-$100,000.00

Schedule

Less than 25%