Supervisory Branch Office Operations Manager

D.A. Davidson Companies; Charleston (SC); On-site; USD 75,000 - 95,000; Full time

Benefits offered by this job

Competitive salary

Medical, Dental and Vision

Company 401(k) and ESOP contribution

Generous sick, vacation, and parental leave

Tuition Reimbursement

Charitable gift-matching program

Job summary

An employee-owned financial services firm in Charleston, SC seeks a Supervisory Branch Office Operations Manager. In this role, you will manage branch staff to ensure exceptional service and compliance. Qualifications include industry certifications, prior management experience, and solid communication skills. The position offers a competitive salary and comprehensive benefits package, including medical, 401(k), and professional development opportunities.

Qualifications

• Applicable industry exams must be completed.
• Prior managerial experience is required.
• Securities industry knowledge is essential.

Responsibilities

• Coordinate work activities of branch support staff.
• Ensure compliance with Human Capital policies.
• Assist in hiring and management of support staff.

Skills

FINRA SIE Certification

Series 7

Series 66 (or 63/65)

Series 9/10 (or 24/4/53)

Prior managerial experience

Strong organizational skills

Solid technology skills

Excellent communication skills

Interpersonal skills

Tools

Microsoft Word

Microsoft Excel

Microsoft Outlook

Microsoft Teams

CRM systems

Job description

Supervisory Branch Office Operations Manager

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other.

We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values.

Job Description

D.A. Davidson, an employee-owned Financial Services firm, is seeking an exceptionally sharp, motivated and detail-oriented Supervisory Branch Office Operations Manager to join our Charleston, SC branch. In this business-critical role, you will work with the Branch Manager to lead branch staff to deliver an exceptional and compliant client experience.

Qualifications:

• Applicable industry exams: FINRA SIE, Series 7, 66 (or 63/65), and 9/10 (or 24/4/53)
• Prior managerial experience
• Seasoned experience in the securities industry, knowledge of industry rules and regulations
• Thorough knowledge of, and adherence to, Company policies and procedures
• Strong organizational skills and attention to detail
• Solid technology skills, including familiarity with Microsoft tools (Word, Excel, Outlook, Teams, CRM)
• Excellent communication skills, both oral and written
• Excellent communication and interpersonal skills with the ability to work proactively with both external and internal clients
• Ability to maintain regular, predictable attendance

Duties:

• Coordinate the work activities of the branch support staff to contribute to efficient and effective branch operations
• Initiate and review support staff training to assure peak productivity levels for all support staff within the branches
• Implement and assure compliance with all Human Capital policies
• Assist in the investigation of employee complaints and personnel issues
• Participate in the hiring and management of all branch office support staff
• Monitor and approve payroll time entries
• Oversee the cashiering functions in the branch(es) to ensure compliance with Company policies and procedures
• Work with the Branch Manager and Transition Team to coordinate the transition of new FPs
• Assist in the opening of new Registered Branch Offices
• Oversee the processing of all cancel & rebills, trade corrections and any other errors
• Serve as the primary point of contact to assist in the resolution of Operations issues
• Participate in various weekly and monthly meetings
• Assist BOM with the management office expenses
• Assist BOM with the annual budgeting process
• Review travel and expense reports if requested by BOM
• Plan and execute various events for the branch(es)
• Utilize the firm’s Advertising approval workflow system as needed
• Maintain office files in compliance with company policies and procedures
• Perform principal-licensed supervisory functions as delegated by the BOM
• Follow firm guidelines and requirements for escalating client complaints
• Serve as contact person for office maintenance issues
• Oversee the maintenance of the storage room, copy centers, shredding bins, kitchen and supplies
• Branch contact for Business Continuity Plan

What we offer:

• Competitive salary plus excellent benefits and perks
• Medical, Dental and Vision
• Company 401(k) and ESOP contribution
• Generous sick, vacation, and maternity/parental leave
• Paid holidays
• Professional Development Opportunities
• Tuition Reimbursement ($15,000 lifetime cap)
• Discounted personal insurance including home, auto and recreational vehicles
• Charitable gift-matching program
• Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work

D.A. Davidson has been in business for 90 years! As an employee-owned company, our success is driven by our high standards of business ethics, integrity and the belief that our Associates are our most important assets.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.