Branch Operations Manager - Burlington, VT, Latham, NY or Saratoga Springs, NY

Overview

Branch Operations Manager - Burlington, VT, Latham, NY or Saratoga Springs, NY. Under branch manager direction, manage the overall operational efficiency of the branch office. Direct day-to-day operational functions, ensuring compliance with firm and regulatory policies and procedures. Use extensive knowledge and experience to identify, research, analyze and resolve complex issues.

• Performs back-up for all operational functions as required by workloads and absences.
• Works directly with home office personnel to coordinate branch-home office workflow.
• Completes self-audit of branch procedures.
• Assists Branch Manager with confidential matters and compliance visits and replies.
• Assists Branch Manager with controlling expenses and operating at peak efficiencies.
• Oversees ordering of supplies, purchase orders and postage usage.
• Maintains accounting of branch petty cash.
• May review branch invoices and operating statements.
• Researches and resolves complex problems relating to client accounts and inquiries.
• Assists Branch Manager in disseminating information at regular branch meetings.
• Coordinates rent, facility, office maintenance and cleaning/security issues.
• Recruits, selects, orients, trains and supervises branch operations associates.
• Performs ongoing performance management, scheduled performance appraisals and salary reviews of operations associates, and maintains branch associate files.
• Reviews daily work of operations associates and evaluates workload and responsibilities of support staff to maintain efficient workflow.
• Ensures daily staffing levels and cross-training are adequate.
• Coordinates registrations, continuing education, licensing, etc. of branch personnel.
• Performs other duties as assigned and may perform some Branch Manager duties.

• Bachelor’s degree and three years’ experience in the financial services industry, preferably including related operational management and supervisory experience.
• Or an equivalent combination of experience, education and/or training as approved by Human Resources.

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

• Bachelor’s:
  Accounting
• Bachelor’s:
  Business Administration
• Bachelor’s:
  Finance

• s10 - General Securities Sales Supervisor - General Module Examination - FINRA
• s66 - Uniform Combined State Law Examination - FINRA
• s7 - General Securities Representative Examination - FINRA
• s9 - General Securities Sales Supervisor - Options Module Examination - FINRA
• Securities Industry Essentials Exam (SIE) - FINRA

$80,000.00-$

Less than 25%

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.

• 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.

Mid-Senior level

Full-time

Management and Manufacturing

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