Branch Operations Manager Trainee

Essential Duties and Responsibilities

• Become trained and skilled to effectively and efficiently function in the Operations Manager role.
• Performs back-up for all operational functions as required by workloads and absences.
• Works directly with home office personnel to coordinate branch-home office workflow.
• Completes self-audit of branch procedures.
• Affords assistance to Branch Manager with confidential matters and compliance visits and replies.
• Affords assistance to Branch Manager with controlling expenses and operating at peak efficiencies.
• Oversees ordering of supplies, purchase orders and postage usage.
• May review branch invoices and operating statements.
• Maintains branch operational manuals.
• Researches and resolves complex problems relating to client accounts and inquiries.
• Affords assistance to Branch Manager in disseminating information at regular branch meetings.
• Coordination of rent, facility, office maintenance and cleaning/security issues.
• Performs other duties and responsibilities as assigned.

Knowledge

• Comprehensive understanding of company policies and procedures and industry rules and regulations.

Skill

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

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.

Education/Previous Experience

• Bachelor’s degree from four-year college or university in related field and a minimum of one (1) year experience in the financial services industry, preferably including related operational management and supervisory experience.
• Any 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 66 (or 63 and 65) required.
• Ability to obtain Series 9 & 10 within six (6) months of hire.
• Ability to obtain additional securities and advisory state registrations if required by state.