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Branch Operations Manager
2 months ago
Job Summary:
Manage the day-to-day administrative and operational functions of a successful wealth management firm. The Branch Operations Manager will report directly to the Chief Executive Officer(s) and will handle internal affairs while coordinating some external matters with third parties.
Leadership skills will be utilized to drive the mission, culture, and goals of the organization. The Branch Operations Manager will hire, train, develop, and maintain staff to encourage each member to reach their potential; manage policies, procedures, registrations, licensing, and continuing education requirements; manage performance and compensation reviews, goal setting, and incentive and bonus structures; defend a culture with open and transparent communication.
Maximize operational efficiency by providing information management support; fulfilling administrative requests; and providing backup secretarial support. Manage technology infrastructure including all hardware and software; identify best practices for technology utilization and lead technology initiatives; support team with training and solutions; maintain databases and spreadsheets. Coordinate all compliance functions, document standards, and storage. Direct responsibility for the content, approval process, and distribution of all compliance-related deliverables and functions, including social media.
Essential Duties and Responsibilities:
Manage, oversee, and update current policies, procedures, and workflows.
Manage monthly management meetings for reporting department-related issues and updates.
Evaluate workload and responsibilities of support staff to determine necessary goal changes.
Manage employee performance reviews, goals, compensation, and bonus structure.
Manage agenda and action items for monthly professional development day
Conduct staff meetings on an ongoing basis
Keep track of CE requirements and licenses for the firm
Coordinate registrations, continuing education, licensing, etc of branch personnel
Coordinate branch audits, State and Broker-Dealer compliance visits, maintain and provide compliance-ready client files while managing timelines
Maintain compliance files and uploading appropriate compliance material to the back office
IT Liaison for technology issues
Develop/update/maintain job descriptions and position responsibilities
Recruit, job post, interview, offer, onboard/offboard, orient, and facilitate training as needed to fill open positions
Oversee and coordinate transitioning of clients for new FA’s
Qualifications:
4-year Bachelors Degree
CFP (preferred)
7+ years of Senior Leadership and Operations Management
5+ years of industry experience
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