Branch Operations Manager (Alpharetta, GA)

Raymond James; Alpharetta (GA); On-site; USD 80,000 - 100,000; Full time

Benefits offered by this job

Comprehensive benefits package

Paid time off including vacation and sick leave

Retirement savings plan

Job summary

Raymond James is seeking a qualified individual to manage branch operations in Alpharetta, Georgia. The ideal candidate will have a bachelor’s degree and significant experience in operational management within the financial services industry.

Your responsibilities include ensuring compliance with regulations, directing daily operational functions, training staff, and controlling expenses. This is a great opportunity for an individual with strong analytical skills and operational expertise in a dynamic environment.

Qualifications

• 3 to 6 years of experience in the financial services industry.
• Experience in operational management and supervisory roles.
• Relevant professional licenses including SIE and Series 7.

Responsibilities

• Manage overall operational efficiency and compliance.
• Coordinate branch-home office workflow.
• Assess and control operational expenses.

Skills

Operational management

Compliance knowledge

Analytical skills

Staff training

Education

Bachelor’s degree

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.

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: Accounting
• Bachelor’s: Business Administration
• Bachelor’s: Finance

Work Experience

• General Experience - 3 to 6 years, Manager Experience - 13 months to 3 years

Certifications

• s10 - General Securities Sales Supervisor - General Module Examination - 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

Compensation and Benefits

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. This position is eligible for a benefits package that may include 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.

Equal Opportunity Employer

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