Job Description

Under branch manager direction manage the overall operational efficiency of the branch office. Directs day to day operational functions, ensuring compliance with firm and regulatory policies and procedures. Uses extensive knowledge and skills obtained through education and experience to identify, research, analyze and resolve complex issues.

Under branch manager direction manage the overall operational efficiency of the branch office. Directs day to day operational functions, ensuring compliance with firm and regulatory policies and procedures.

Uses extensive knowledge and skills obtained through education and experience to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities

• 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.

• Assists Branch Manager with confidential matters and compliance visits and replies.

• Assists Branch Manager with controlling expenses and operating at peak efficiencies.

• Oversees ordering of supplies, purchase orders and postage usage.

• Maintains accounting of branch petty cash.

• May review branch invoices and operating statements.

• Researches and resolves complex problems relating to client accounts and inquiries.

• Assists Branch Manager in disseminating information at regular branch meetings.

• Coordinate rent, facility, office maintenance and cleaning/security issues.

• Recruits, selects, orients, trains and supervises branch operations associates.

• In conjunction with the Branch Manager conducts ongoing performance management, scheduled performance appraisals and salary reviews of operations associates, and maintains branch associate files.

• Reviews daily work of operations associates.

• 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.

• Coordinates registrations, continuing education, licensing, etc. of branch personnel.

• Performs other duties and responsibilities as assigned. May perform some Branch Manager

duties.

Knowledge of

• Company policies and procedures and industry rules and regulations.

• Investment concepts, practices and procedures used in the securities industry.

• Financial markets and products.

• Human resource management principles and practices.

Ability to

• Operate standard office equipment and use required software applications to produce

correspondence, reports, electronic communication, spreadsheets, and databases.

• 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.

• Project a professional and pleasant appearance and demeanor to work with clients; utilize tact

and diplomacy in dealing with customers in a deadline-driven environment.

• Employ good analytical skills to be able to research account information and resolve problems.

• Establish and communicate clear directions and priorities.

• Utilize good interpersonal and verbal and written communication skills to deal with clients,

financial advisors, support staff and home office personnel.

• Establish and maintain a respected position of leadership to influence, motivate and persuade

others to achieve desired outcomes.

• Effectively organize, manage, track and complete multiple detailed tasks and assignments with

frequently changing priorities and deadlines in a fast-paced work environment.

• Work independently, under minimal supervision.

Education/Previous Experience

• Bachelor’s degree (B.A.) from four-year college or university in related field and three (3) years

experience in the financial services industry, preferably including related operational management

and supervisory experience.

• 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, 9 & 10 required.

• Series 63, 65 and/or 66 as required by state.

• Ability to obtain additional securities and advisory state registrations if required by state.

Due to pay transparency, our roles auto-populate with Federal minimums. However, the office has determined the appropriate range for this position to be $100,000.00 to $125,000.00 base salary.”

Education

Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance

Work Experience

General Experience - 3 to 6 years, Manager Experience - 13 months to 3 years

Certifications

s10 - General Securities Sales Supervisor - General Module Examination - Financial Industry Regulatory Authority (FINRA), s66 - Uniform Combined State Law Examination - Financial Industry Regulatory Authority (FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA), s9 - General Securities Sales Supervisor - Options Module Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Salary Range

$75,000.00-$125,000.00

Travel

Less than 25%

Workstyle

Resident

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. 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. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

We expect our associates at all levels to:
• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

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