Branch Operations Manager Trainee-Boulder, CO - Raymond James

Description

Through various training mechanisms, gain knowledge of day to day operational functions and how to ensure compliance with firm and regulatory policies and procedures.

• Become trained and skilled to effectively and efficiently function in the Operations Manager role:
• 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.
• May review branch invoices and operating statements.
• Maintains branch operational manuals.
• Researches and resolves complex problems relating to client accounts and inquiries.
• Assists Branch Manager in disseminating information at regular branch meetings.
• Coordinates rent, facility, office maintenance and cleaning/security issues.
• Performs other duties and responsibilities as assigned. May perform some Branch Manager duties if Series 9 & 10 licensed.
• 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 personnel 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.

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

• 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.

• Bachelors degree from four-year college or university in related field and a minimum of one (1) year experience in the financial services industry, preferably including related operational management and supervisory experience.

• Any 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 66 (or 63 & 65) required.
• Ability to obtain Series 9 & 10 within six (6) months of hire.