Branch Operations Manager

Raymond James; Goerke's Corners (WI); On-site; USD 85,000 - 120,000; Full time

Benefits offered by this job

Medical, dental, and vision

Life insurance

Disability benefits

Retirement savings

Paid time off

Parental leave

Job summary

Raymond James seeks an experienced Branch Operations Manager to oversee the branch’s daily operations, ensuring compliance with firm and regulatory policies. The role requires identifying and resolving complex issues using broad knowledge from education and experience.

The position involves coordinating branch-home office workflow, supervising associates, and conducting performance reviews to maintain high efficiency and standards.

Qualifications

• Bachelor’s degree and 3+ years in financial services operations.
• SIE/Series 7/9/10 and state registrations as required.
• Education: accounting, business, or finance degrees; HS diploma also listed.
• Work experience: 3–6 years, management experience 13 months to 3 years.
• Travel less than 25%.

Responsibilities

• Back-up for all operational functions as workloads require.

Skills

Operational management

Supervisory experience

Branch operations

Regulatory knowledge

Compliance awareness

Education

Bachelor’s degree (Accounting)

Bachelor’s degree (Business Administration)

Bachelor’s degree (Finance)

High School Diploma

Tools

SIE license

Series 7 license

Series 9/10 licenses

Series 63/65/66 licenses

Job description

Job Description Summary

Under branch manager direction manage the overall operational efficiency of the branch office. Directs day to day operational functions, ensuring compliance with firm and regulatory policies and procedures. Uses extensive knowledge and skills obtained through education and experience to identify, research, analyze and resolve complex issues.

Job Description Responsibilities

• Performs back-up for all operational functions as required by workloads and absences.
• Works directly with home office personnel to coordinate branch-home office workflow.
• Completes self-audit of branch procedures.
• Assists Branch Manager with confidential matters and compliance visits and replies.
• Assists Branch Manager with controlling expenses and operating at peak efficiencies.
• Oversees ordering of supplies, purchase orders and postage usage.
• Maintains accounting of branch petty cash.
• May review branch invoices and operating statements.
• Researches and resolves complex problems relating to client accounts and inquiries.
• Assists Branch Manager in disseminating information at regular branch meetings.
• Coordinate rent, facility, office maintenance and cleaning/security issues.
• Recruits, selects, orients, trains and supervises branch operations associates.
• In conjunction with the Branch Manager conducts ongoing performance management, scheduled performance appraisals and salary reviews of operations associates, and maintains branch associate files.
• Reviews daily work of operations associates.
• Evaluates workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow.
• Ensures daily staffing levels and cross-training is adequate.
• Coordinates registrations, continuing education, licensing, etc. of branch personnel.
• Performs other duties and responsibilities as assigned.
• May perform some Branch Manager duties

Education / Experience Requirements

• Bachelor’s degree and three years’ experience in the financial services industry, preferably including related operational management and supervisory experience ~or~ An equivalent combination of experience, education and/or training as approved by Human Resources
• Licenses Required SIE required provided that an exemption or grandfathering cannot be applied Series 7, 9 & 10 Series 63, 65 and/or 66 as required by state Ability to obtain additional securities and advisory state registrations if required by state
• Education Bachelor’s - Completed: Accounting, Bachelor’s - Completed: Business Administration, Bachelor’s - Completed: Finance, High School (HS) - Completed (Required)
• Work Experience General Experience - 3 to 6 years, Manager Experience - 13 months to 3 years
• Certifications s10 - General Securities Sales Supervisor - General Module Examination - Financial Industry Regulatory Authority (FINRA), s66 - Uniform Combined State Law Examination - FINRA, s7 - General Securities Representative Examination - FINRA, s9 - General Securities Sales Supervisor - Options Module Examination - FINRA, Securities Industry Essentials Exam (SIE) - FINRA
• Travel Less than 25%
• Workstyle Resident

Salary and Compensation

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions.

Benefits

• medical, dental, and vision
• life insurance
• critical illness insurance and accident insurance
• disability benefits
• retirement savings
• paid time off (including vacation, holidays, and sick leave)
• and parental leave

Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

We expect our associates at all levels to:

• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive.

The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF.

Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.