Branch Operations Leader: Compliance & Efficiency

100 Raymond James & Associates, Inc.; Chattanooga (TN); Hybrid; USD 70,000 - 110,000; Full time

Benefits offered by this job

Medical, dental, and vision insurance

Retirement savings plans

Job summary

Raymond James & Associates, Inc. is seeking a Branch Operations Manager to optimize daily branch functions, ensure regulatory compliance, and drive efficiency across teams. The role emphasizes collaboration with home office and leadership in executing controlled processes.

The ideal candidate has a background in financial services, with supervisory experience and a focus on risk management and client service.

Qualifications

• Bachelor’s degree in finance or related field with 3+ years in financial services.
• Operational management and supervisory experience preferred.
• Ability to obtain state registrations as required by compliance standards.

Responsibilities

• Manage day-to-day branch operations and ensure compliance with policies.
• Coordinate branch-home office workflow and audits.
• Recruit, train, and supervise branch operations staff.
• Oversee budgeting, expenses, and vendor invoicing.
• Maintain branch cash accounting and financial records.
• Provide support during regulatory visits and internal reviews.

Skills

Operations management

Supervisory experience

Team leadership

Regulatory compliance

Problem solving

Education

Bachelor’s degree

Three years’ experience in financial services

Equivalent combination of experience/education

Tools

SIE license

Series 7, 9 & 10

Series 63, 65, 66

Job description

Raymond James & Associates, Inc. is seeking a Branch Operations Manager to optimize daily branch functions, ensure regulatory compliance, and drive efficiency across teams. The role emphasizes collaboration with home office and leadership in executing controlled processes.

The ideal candidate has a background in financial services, with supervisory experience and a focus on risk management and client service.