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Branch Manager

3 months ago

Palm Beach, United States Raymond James Financial Incorporated Full time
Job Summary

In conjunction with a Complex Manager, is responsible for overall efficiency and management of a Raymond James and Associates retail branch office.Manages the compliance oversight, ensuring adherence to firm and regulatory policies and procedures.

Essential Duties and Responsibilities

•In conjunction with the Complex Manager, 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 monitors office revenue and expense budgets.

•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.

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

•Conducts ongoing performance appraisals, scheduled performance appraisals and salary reviews of operations associates, and maintains branch associate files.

•Reviews daily work of 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.

•Oversees daily trading and other office activities.

•May facilitate sales promotion activities such as seminars and luncheons/dinner as well as inform FA's about new products and RJA managed underwritings. .

•Participates in community affairs as a representative of the firm.

•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

•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.

•Work independently, under minimal supervision.

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.

Raymond James Guiding Behaviors

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 outcome

•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