Description

　　Job 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.

　　Essential Duties and 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.

　　Qualifications

　　Qualifications :

　　Comprehensive understanding of company policies and procedures and industry rules and regulations.

　　Investment concepts, practices and procedures used in the securities industry.

　　Financial markets and products.

　　Human resource management principles and practices.

　　Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

　　Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.

　　Project a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.

　　Employ good analytical skills to be able to research account information and resolve problems.

　　Establish and communicate clear directions and priorities.

　　Utilize good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel.

　　Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.

　　Effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

　　Work independently, under minimal supervision.

　　Educational/Previous Experience Requirements :

　　Bachelor’s degree (B.A.) from four-year college or university in related field and three (3) 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/Certifications :

　　SIE required provided that an exemption or grandfathering cannot be applied.

　　Series 7, 9 & 10 required.

　　Series 63, 65 and/or 66 as required by state.

　　Ability to obtain additional securities and advisory state registrations if required by state.

　　Job: Administrative & Support Services

　　Primary Location: US-NC-Raleigh-Raleigh

　　Schedule Full-time

　　Job Shift Day Job

　　Travel Yes, 10 % of the Time

　　Req ID: 2400074