Description
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.
Qualifications
Knowledge, Skills, and Abilities
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.
Educational/Previous Experience Requirements
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.
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