Branch Manager (San Diego, CA )

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.
• Captures 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 FAs 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.
• Maintains ongoing performance appraisals, scheduled performance appraisals and salary reviews of operations associates, and maintains branch associate files.
• Evaluates workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow.
• Ensures daily staffing levels and cross-training is adequate.
• Participates in community affairs as a representative of the firm.
• Serves clients in his/her own book of business.

Knowledge Required

• 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.

Skills Required

• 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.
• Handling stressful situations and leading others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.
• Establishing and maintaining a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.
• Projecting a professional and pleasant appearance and demeanor to work with clients; utilizing tact and diplomacy in dealing with customers in a deadline-driven environment.
• Continuously learning investment products, industry rules and regulations, and financial planning.
• 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.

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.
• 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.

Salary Range

$70,304.00-$95,000.00

Travel

Less than 25%

Workstyle

Resident

Total Compensation

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions.

Benefits Package

• 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)
• Parental leave

Company Culture

• Five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve)
• Client-first, integrity, independence, and a conservative, long-term view
• Associates are expected to grow professionally and inspire others to do the same
• Associates make prompt, pragmatic choices and act with the client in mind
• Associates take ownership and hold themselves and others accountable for delivering results that matter
• Associates contribute to the continuous evolution of the firm
• The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.