Branch Leader — Growth, Compliance & Client Service

Raymond James; Scottsdale (AZ); Vor Ort; USD 120.000 - 180.000; Vollzeit

Zusammenfassung

Raymond James in Scottsdale, AZ seeks an experienced branch office manager to lead operations, ensure regulatory compliance, and drive growth. The role involves overseeing trading, staffing, budgeting, and sales initiatives while maintaining excellent client service.

The position requires a Bachelor’s degree and 3+ years in financial services, with FINRA licensing expectations and a commitment to community engagement. A strong leadership presence is essential.

Qualifikationen

• Bachelor’s degree and minimum 3 years in a financial services firm.
• Experience supervising branch staff and knowledge of regulatory guidelines.
• Ability to coordinate registrations, licensing and ongoing education for branch personnel.

Aufgaben

• Evaluate branch structure and strategic plan to meet sales goals and improve profitability.
• Oversee compliance oversight and adherence to firm and regulatory policies.
• Review client accounts, documents and resolve client complaints.
• Supervise daily trading and office activities and coordinate staffing.
• Develop and monitor branch revenue and expense budgets.
• Support recruiting, orientation, training and retention of Financial Advisors and staff.
• Represent the firm in community affairs and serve clients in the branch’s book of business.

Kenntnisse

Leadership

Regulatory compliance

Client relationship management

Financial services experience

Ausbildung

Bachelor’s degree (B.A.) in Finance or related field

Equivalent combination of experience, education and/or training

Jobbeschreibung

Raymond James in Scottsdale, AZ seeks an experienced branch office manager to lead operations, ensure regulatory compliance, and drive growth. The role involves overseeing trading, staffing, budgeting, and sales initiatives while maintaining excellent client service.

The position requires a Bachelor’s degree and 3+ years in financial services, with FINRA licensing expectations and a commitment to community engagement. A strong leadership presence is essential.