Branch Manager-Colorado Springs, CO

3 weeks ago

Colorado Springs, 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

  • Companys 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

  • Bachelors 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: 2400827

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