Branch Manager: Growth, Compliance & Leadership

Raymond James; Irvine (CA); On-site; USD 70,000 - 125,000; Full time

Benefits offered by this job

Medical, dental, and vision benefits

Life insurance

Retirement savings plan

Paid time off including vacation and p

Job summary

Raymond James serves as a regional retail leadership role, overseeing day‑to‑day branch operations in Irvine and potentially servicing clients in the advisor’s own book. The position emphasizes staff development, compliance oversight, and achieving sales targets within a client‑first framework.

Ideal candidates hold a bachelor’s degree with several years in financial services, possess required FINRA licenses, and can manage budgets while fostering professional growth and community engagement.

Qualifications

• Bachelor’s degree and a minimum of three years in a financial services firm.
• SIE required; Series 7 and 9/10 (or 8) required.
• Series 63 & 65 or 66 as required by state; life/health/variable annuity licenses.
• NFA Commodities license required if commodities trading occurs.

Responsibilities

• Attracts, selects, orients, trains, and retains financial advisors and staff.
• Continuously evaluates branch structure and growth plans for efficiency and profitability.
• Oversees compliance with firm policies and regulatory requirements.
• Supervises daily trading and office activities.
• Documents and resolves client complaints; reviews client accounts.
• Develops plans to meet office sales goals and budgets.
• Facilitates seminars and promotional events; drives revenue growth.
• Represents the firm in community affairs; may service clients in own book.

Skills

Leadership

Financial Advisory supervision

Compliance oversight

Budgeting & forecasting

Customer service

Education

Bachelor’s degree (B.A.)

Tools

Microsoft Office

Fintech software

Job description

Raymond James serves as a regional retail leadership role, overseeing day‑to‑day branch operations in Irvine and potentially servicing clients in the advisor’s own book. The position emphasizes staff development, compliance oversight, and achieving sales targets within a client‑first framework.

Ideal candidates hold a bachelor’s degree with several years in financial services, possess required FINRA licenses, and can manage budgets while fostering professional growth and community engagement.