Branch Leader, Financial Services & Compliance

Raymond James Financial, Inc.; Houston (TX); On-site; USD 120,000 - 190,000; Full time

Benefits offered by this job

Health insurance

Retirement plan

Paid time off

Job summary

Raymond James Financial, Inc. seeks a seasoned Branch Manager to lead a Houston-area retail office. You will oversee compliance, trading, and staff performance while driving revenue growth and client service excellence.

Responsibilities include evaluating branch strategy, coordinating licensing, and managing budgets. Strong leadership and regulatory knowledge are essential for success in this role.

Qualifications

• Bachelor’s degree required with 3+ years in financial services
• Must hold SIE; Series 7 and 9/10; Series 63/65 or 66 as required
• Life, Health and Variable Annuity licenses required
• NFA Commodities License required if commodities trading occurs

Responsibilities

• Evaluate branch structure and strategic plan to drive efficiency and profitability while ensuring excellent service
• Oversee compliance oversight and regulatory adherence
• Review client accounts and resolve client complaints
• Coordinate registrations and licensing for branch personnel
• Oversee daily trading and office activities; supervise staff
• Develop revenue and expense budgets and oversee promotions and client events
• Attract, train, and retain Financial Advisors and staff; conduct performance appraisals
• Maintain staffing and cross-training; ensure timely, accurate reporting and decisions

Skills

Leadership

Client service

Regulatory compliance

Presentation skills

Strategic planning

Communication

Education

Bachelor’s degree

FINRA licenses qualifications (SIE)

Series 7 & 9/10

Series 63 & 65 or 66

Life, Health, and Variable Annuity Licenses

NFA Commodities License

Tools

Microsoft Office

Spreadsheets

Databases

Job description

Raymond James Financial, Inc. seeks a seasoned Branch Manager to lead a Houston-area retail office. You will oversee compliance, trading, and staff performance while driving revenue growth and client service excellence.

Responsibilities include evaluating branch strategy, coordinating licensing, and managing budgets. Strong leadership and regulatory knowledge are essential for success in this role.