Senior Branch Operations Leader

D.A. Davidson Companies; Pasadena (CA); On-site; USD 110,000 - 120,000; Full time

Benefits offered by this job

Medical, Dental & Vision

401(k) & ESOP

Paid holidays

Professional development

Tuition reimbursement

Davidson Day of Giving

Job summary

D.A. Davidson Companies is seeking a motivated Supervisory Branch Operations Manager to support Financial Advisors across multiple branches in Pasadena, CA.

You will partner with the Branch Manager to ensure smooth operations, regulatory compliance, and excellent client service. The role requires supervisory experience, strong securities industry knowledge, and outstanding communication, organizational, and training skills.

Qualifications

• Series 7, 65 or 66, 24, 9 and/or 10 required or assumed for supervisory role.
• Prior supervisory experience in branch operations.
• Solid knowledge of accounting principles.
• Thorough knowledge of Company policies and procedures.
• Seasoned experience in the securities industry and familiarity with industry rules.
• Strong interpersonal and communication abilities.
• Excellent organizational skills and attention to detail.
• Proficient with PC-based software and automated environments.
• Fluent in Microsoft Word, Excel and Outlook; able to maintain client confidentiality.

Responsibilities

• Coordinate the work activities of the branch support staff with the Branch Manager to support efficient operations.
• Initiate and review staff training for peak productivity and onboarding of new employees.
• Ensure compliance with Human Capital policies and participate in compensation reviews and staffing reports.
• Assist in investigations of employee complaints and disciplinary actions with Human Capital.
• Participate in hiring and management of branch support staff and handle onboarding processes.
• Monitor payroll time entries and oversee cashiering functions to ensure policy compliance.
• Coordinate transitions of new Financial Advisors and HR processes for smooth onboarding.
• Assist in opening new satellite offices and managing office supplies and equipment.
• Oversee daily reporting, such as morning reports and Mutual Fund Breakpoint Worksheets.
• Serve as liaison with IT and other departments to resolve Operations issues.

Skills

Series 7

Series 65/66/24/9/10

Supervisory experience

Accounting principles

Securities industry rules knowledge

Interpersonal skills

Organizational skills

Communication skills

PC proficiency

Microsoft Word

Microsoft Excel

Outlook

Attendance

Tools

Microsoft Word

Microsoft Excel

Outlook

Job description

D.A. Davidson Companies is seeking a motivated Supervisory Branch Operations Manager to support Financial Advisors across multiple branches in Pasadena, CA.

You will partner with the Branch Manager to ensure smooth operations, regulatory compliance, and excellent client service. The role requires supervisory experience, strong securities industry knowledge, and outstanding communication, organizational, and training skills.