Branch Manager-Saratoga Springs, NY

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 ensuring 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 Financial Advisors (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.
• Legal requirements and federal and state 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.

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.

Pay

$62,353.20-$175,000.00

Schedule

Up to 50%

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 insurance.
• Life insurance.
• Critical illness insurance and accident insurance.
• Disability benefits.
• Retirement savings.
• Paid time off (including vacation, holidays, and sick leave).
• Parental leave.

Behavioral Expectations

• Develop
• Collaborate
• Decide
• Deliver
• Improve

Company Culture

• Client-first
• Integrity
• Independence
• Conservative, long-term view

Equal Opportunity Employer

We expect our associates to grow professionally and inspire others to do the same. We honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates.