Branch Operations Manager - Hunt Valley, MD

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.

Knowledge 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.

Ability to

• Operate standard office equipment and use 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.

Education/Previous Experience

• 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.