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Complex Manager-Nashville, TN
Nashville StaffingNashville, TN, US2 days ago
Job type
- Full-time
Job descriptionCompany'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. 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. 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. 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. 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 in the branches.
Raymond James & Associates Retail Branch Manager
Oversee the day-to-day operations of multiple Raymond James & Associates (RJA) retail branches that are combined to form a functional group. May service clients in his / her own book of business.
Assists Resident Manager at each branch with the following activities :
- Attracts, selects, orients, trains, and retains Financial Advisors (FAs) and support staff.
- Supervises daily trading and other office activities.
- 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.
- Continually evaluates complex 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.
- May service clients in his / her own book of business.
- Participates in community affairs as a representative of the firm.
- Performs other duties and responsibilities as assigned.
Knowledge of :
Skill in :
Ability to :
Education / Previous Experience :
Licenses / Certifications :
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Complex • Nashville, TN, US
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