Branch Operations Manager-San Rafael, Ca

Job Summary:

Under branch manager direction manage the overall operational efficiency of the branch office. Directs day to day operational functions, ensuring compliance with firm and regulatory policies and procedures. Uses extensive knowledge and skills obtained through education and experience to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities:

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

Qualifications:

Qualifications:

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• 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.
• Comprehensive understanding of company policies and procedures and industry rules and regulations.
• Employ good analytical skills to be able to research account information and resolve problems.
• Utilize good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel.
• Effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
• Work independently, under minimal supervision.
• 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.
• Establish and communicate clear directions and priorities.
• Financial markets and products.
• Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.
• Human resource management principles and practices.
• Investment concepts, practices and procedures used in the securities industry.

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A.) from four-year college or university in related field and three (3) 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.

Licenses/Certifications:

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

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:

• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Work with and through others to achieve desired outcomes
• Grow professionally and inspire others to do the same
• Contribute to the continuous evolution of the firm

At Raymond James – we honor, value, respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic self, our organization, clients and communities thrive, it is part of our part of our people-first culture. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

Job :

Compliance

Primary Location :

US-CA-San Rafael-San Rafael

Organization :

Western

Schedule :

Full-time

Shift :

Day Job

Travel :

Yes, 10 % of the Time

Salary Range: CO, NY, CA, WA (based on Education, Work Experience, and Geographic Location)

$100K-110+K

Eligible for Discretionary Bonus :

Yes