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Branch Manager-Colorado Springs, CO

3 months ago

Colorado Springs, Colorado, United States Raymond James Financial Services Full time

Description

Job Summary
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

  • Attracts, 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.
  • Informs FAs about new products and RJA managed underwritings.
  • Participates in community affairs as a representative of the firm.
  • May service clients in his/her own book of business.
  • Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities

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

  • Continuously learn investment products, industry rules and regulations, and financial planning.
  • Provide a high level of customer service.
  • 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.

Educational/Previous Experience Requirements

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.

Job: Wealth management

Primary Location: US-CO-Colorado Springs-Colorado Springs

Organization Western

Schedule Full-time

Job Shift Day Job

Travel Yes, 20 % of the Time

Req ID: