Senior Branch Leader - Wealth Management & Compliance

100 Raymond James & Associates, Inc.; Scottsdale (AZ); Presencial; USD 120.000 - 180.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Medical, dental, vision

Life insurance

Disability benefits

Retirement savings plan

Paid time off

Descripción de la vacante

Raymond James & Associates, a leading financial services firm, seeks an experienced branch manager to oversee regulatory compliance, branch operations, and client service excellence in Scottsdale. You will manage a multi-person team, coordinate licensing and education, and drive revenue growth while maintaining strong risk controls.

The role requires a Bachelor's degree and FINRA licenses; you will lead a high-performing team in a dynamic, customer-focused environment with opportunities for

Formación

• Bachelor’s degree in finance, business, or related field and a minimum of 3 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, and Variable Annuity Insurance Licences; NFA Commodities Licence if commodities trading occurs at the branch.

Responsabilidades

• Evaluate branch structure and strategic plan to promote efficiency and profitability while delivering excellent service.
• Oversee compliance oversight and adherence to policies and procedures.
• Review client accounts, documents, and resolve client complaints.
• Coordinate registrations, continuing education, licensing for branch personnel.
• Oversee daily trading and branch activities; supervise staff.
• Develop and monitor office revenue and expense budgets.

Conocimientos

Leadership

Regulatory compliance

Strategic planning

Client service

Team management

Educación

Bachelor’s degree in finance or business

Herramientas

Microsoft Office

CRM systems

Descripción del empleo

Raymond James & Associates, a leading financial services firm, seeks an experienced branch manager to oversee regulatory compliance, branch operations, and client service excellence in Scottsdale. You will manage a multi-person team, coordinate licensing and education, and drive revenue growth while maintaining strong risk controls.

The role requires a Bachelor's degree and FINRA licenses; you will lead a high-performing team in a dynamic, customer-focused environment with opportunities for