Branch Manager: Finance, Compliance & Growth

Raymondjames; Houston (TX); On-site; USD 120,000 - 180,000; Full time

Job summary

Raymond James in Houston seeks an experienced Branch Office Manager to lead a retail branch, ensuring compliance with firm and regulatory policies while driving sales, service quality, and profitability.

The role involves overseeing trading activity, staff development, and community engagement, with focus on attracting and retaining Financial Advisors and managing the branch budget. A strong mix of leadership, regulatory knowledge, and client service is essential.

Qualifications

• Bachelor's degree from a four-year college and a minimum of three years in a financial services firm.
• SIE required; Series 7 and 9&10 required; Series 63/65 or 66 as required by state.
• Life, Health, and Variable Annuity Insurance Licenses; NFA Commodities License if applicable.

Responsibilities

• Evaluates branch structure and strategic plan to promote efficiency and profitability while maintaining excellent service.
• Responsible for compliance oversight and ensuring adherence to firm and regulatory policies and procedures.
• Performs reviews of client accounts and documents, and resolves client complaints.
• Coordinates registrations, continuing education, licensing, etc. of branch personnel.
• Oversees daily trading and other office activities; supervises staff.
• Develops and monitors office revenue and expense budgets.

Skills

Leadership

Customer service

Communication

Presentation

Regulatory knowledge

Education

Bachelor's degree

3+ years financial services experience

Equivalent combination of experience/education

Job description

Raymond James in Houston seeks an experienced Branch Office Manager to lead a retail branch, ensuring compliance with firm and regulatory policies while driving sales, service quality, and profitability.

The role involves overseeing trading activity, staff development, and community engagement, with focus on attracting and retaining Financial Advisors and managing the branch budget. A strong mix of leadership, regulatory knowledge, and client service is essential.