Complex Administrative Manager - Saratoga Springs, NY

Under administrative direction, manage the overall efficiency and supervision of complex branch offices. Lead large or multiple projects with significant scope and impact, working independently on difficult assignments that are broad in nature. Use extensive knowledge and skills to identify, research, analyze, and resolve complex issues.

Responsibilities

• Recruit, select, train, and supervise operations support associates in multiple branches.
• Manage all administrative matters in the hiring, termination, and transition of financial advisors and trainees.
• Conduct ongoing performance management, scheduled performance appraisals, and salary reviews of branch support associates.
• Maintain associate files.
• Monitor daily work of associates, evaluating workload and responsibilities to maintain efficient workflow.
• Ensure daily staffing levels and cross-training are adequate.
• Conduct staff meetings at multiple branches.
• Coordinate registrations, continuing education, licensing, etc., of associates.
• Maintain records of all complaints and ensure all errors and omissions (E&Os) are filed and responses completed.
• Apprise Complex Manager of all appropriate matters and assist with disseminating information to associates.
• Act as Resident Manager or Rep in Charge when required.
• Participate in the physical establishment of complex expansion ventures such as satellites or new branches, as well as existing branch moves.
• Monitor alerts and supervise any necessary follow-up.
• Assist Complex Manager with controlling expenses and operating at peak efficiencies.
• Assist in the development and monitoring of office revenue and expense budgets.
• Track, review, and approve expense reports, marketing allowances/expenses, and other complex expenses/charge backs.
• May assist Complex Manager in managing their book of business.
• May be responsible for ensuring compliance with firm and regulatory policies and procedures.
• May oversee office maintenance, cleaning, and security issues.
• Perform other duties and responsibilities as assigned; may perform some Complex Manager duties.

Requirements

• Bachelor’s degree in Accounting, Business Administration, Finance, or equivalent combination of experience, education, and/or training as approved by Human Resources.
• Minimum of six years’ experience in the financial services industry, including related operational, administrative management, and supervisory experience.
• SIE (Securities Industry Essentials Exam) required, provided that an exemption or grandfathering cannot be applied.
• Series 7, 9, & 10 licenses.
• Series 63, 65, and/or 66 as required by state.
• Ability to obtain additional securities and advisory state registrations if required by state.

Skills

• General Experience: 6 to 10 years
• Manager Experience: 3 to 6 years
• Certifications: FINRA Series 10, 66, 7, 9, and SIE

Pay

Salary Range: $100,000.00 - $150,000.00

Benefits

• 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
• Additional compensation (cash or equity), discretionary bonuses, or commissions

Schedule

Travel: Less than 25%

Workstyle: Resident