Job Description Summary

Under limited direction of the branch manager, uses extensive knowledge and skills obtained through education and experience to manage the overall operational efficiency of the branch office. Assists the Branch Manager with compliance oversight, ensuring adherence to firm and regulatory policies and procedures. Leads defined work or projects of moderate scope and complexity. Resolves or recommends solutions to complex problems. Extensive contact with internal and external customers is required to identify, research, analyze and resolve complex issues.

Job Description

Responsibilities

• Recruits, selects, orients, trains and supervises branch associates.
• In conjunction with the Branch Manager conducts ongoing performance management, schedules 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 as adequate.
• Coordinates registrations, continuing education, licensing, etc. of branch personnel.
• Assists with daily trading and other office activities.
• Assists with reviews of client accounts and resolution of client complaints.
• May assist in the development and monitoring of office revenue and expense budgets.
• May assist Branch Manager in managing their book of business.
• May be responsible for ensuring compliance with firm and regulatory policies and procedures including but not limited to daily trade blotters, MARS reports, incoming client correspondence, new account form approvals, and advertising approvals.
• Assists Branch Manager in disseminating information at regular branch meetings.
• Performs other duties and responsibilities as assigned. May perform some Branch Manager duties.

Education/Experience Requirements

• Bachelor’s degree and five years’ experience in the financial services industry, including related operational management and supervisory experience

~or~

• An equivalent combination of experience, education and/or training as approved by Human Resources

Licenses Required

• SIE required provided that an exemption or grandfathering cannot be applied
• Series 7
• Series 9 & 10 if required by business unit
• Series 63, 65 and/or 66 as required by state
• Ability to obtain additional securities and advisory state registrations if required by state

Education

Bachelor’s: Business Administration, Bachelor’s: Finance, Bachelor’s (Required)

Work Experience

General Experience - 6 to 10 years, Manager Experience - 4 to 6 months

Certifications

s10 - General Securities Sales Supervisor - General Module 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), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Salary Range

$80,000.00-$125,000.00

Travel

Less than 25%

Workstyle

Resident

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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