Branch Manager (Salt Lake City, UT)

Job Summary

Oversee the day-to-day operations of a Raymond James & Associates (RJA) retail branch. May service clients in his/her own book of business.

Essential Duties and Responsibilities

Attracts, selects, orients, trains, and retains Financial Advisors (FAs) and support staff.

Continually evaluates branch structure and strategic plan, including future growth as needed, to promote overall efficiency and profitability while maintaining a commitment to excellent service.

Responsible for compliance oversight and ensuring adherence to firm and regulatory policies and procedures.

Supervises daily trading and other office activities.

Documents and resolves client complaints.

Performs reviews of client accounts.

Develops and implements plans to meet office sales goals.

Facilitates sales promotion activities such as seminars and luncheons/dinners.

Develops and monitors office revenue and expense budgets.

Informs FAs about new products and RJA managed underwritings.

Participates in community affairs as a representative of the firm.

May service clients in his/her own book of business.

Performs other duties and responsibilities as assigned.

Knowledge of

Company’s working structure, policies, mission, strategies, and compliance guidelines.

Economic and accounting principles and practices, the financial markets, banking, and analysis and reporting of financial data.

Legal requirements and federal and state regulations related to employment.

Skill in

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

Preparing and delivering clear, effective, and professional presentations.

Identifies the needs of customers through effective questioning and listening techniques.

Ability to

Continuously learn investment products, industry rules and regulations, and financial planning.

Provide a high level of customer service.

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

Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.

Articulate reasons behind decisions.

Keep all appropriate parties up-to-date on decisions, changes, and other relevant information.

Establish and maintain effective working relationships with others.

Identify problems, gather facts, and develop solutions.

Education/Previous Experience

Bachelor’s degree (B.A.) from four-year college or university, and a minimum of three (3) years experience in a financial services firm, 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 and 9 & 10 (or 8) required.

Series 63 & 65, or 66 as required by state.

Life, Health, and Variable Annuity Insurance Licenses.

NFA Commodities License required if any commodities trading is done at the branch.