Job Description Summary

Under general direction and with a high level of autonomy uses extensive knowledge and skills obtained through education and experience to manage a retail branch office of Raymond James and Associates. Manages the compliance oversight, ensuring adherence to firm and regulatory policies and procedures. May operate within a complex of branches.

Job Description

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. • Coordinates 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 FA’s 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. • May conduct ongoing performance appraisals, scheduled performance appraisals and salary reviews of operations associates, and maintains branch associate files. • May review daily work of associates; evaluate workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow. • May ensure daily staffing levels and cross-training is adequate. • Participates in community affairs as a representative of the firm. • Services clients in his/her own book of business. • Performs other duties and responsibilities as assigned. Knowledge of • Company’s working structure, policies, mission, strategies, and compliance guidelines. • 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. Skill in • 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. • Identifies the needs of customers through effective questioning and listening techniques. 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. • Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes. • 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. • Continuously learn investment products, industry rules and regulations, and financial planning. • Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment. • Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels. • Articulate reasons behind decisions. • Keep all appropriate parties up-to-date on decisions, changes, and other relevant information. • Establish and maintain effective working relationships with others. • Identify problems, gather facts, and develop 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. 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.

Education

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

Work Experience

General Experience – 10 to 15 years, Manager Experience - 6 to 10 years

Certifications

s10 - General Securities Sales Supervisor - General Module Examination - Financial Industry Regulatory Authority (FINRA), S65 - Uniform Investment Adviser Law 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)

Travel

Up to 50%

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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