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Supervisory Branch Office Operations Manager - Wilmington, United States - D.A. Davidson
Description
Summary/Function:
The position works with the Branch Manager (BOM) to ensure the branch runs smoothly and complies with company policies and procedures and security industry rules and regulations.
Experience and Skills
Qualifications:
* Applicable industry exams: FINRA SIE, Series 7, 66 (or 63/65), and 9/10 (or 24/4/53)
* Prior managerial experience.
* Seasoned experience in the securities industry, knowledge of industry rules and regulations.
* Thorough knowledge of, and adherence to, Company policies and procedures.
* General knowledge of accounting principles.
* Strong organizational skills and attention to detail.
* Solid technology skills, including familiarity with Microsoft tools (Word, Excel, Outlook, Teams, CRM). Excellent communication skills, both oral and written.
* Maintain client confidentiality.
* Communicate in a clear and service-oriented manner. Use appropriate, professional language and grammar to effectively exchange ideas and information.
* Strong interpersonal skills. Ability to proactively work with both external and internal clients. Relate with others in a professional manner in order to accomplish work responsibilities and objectives.
* Ability to maintain regular, predictable attendance.
Duties:
* Coordinate the work activities of the branch support staff to contribute to efficient and effective branch operations. Work with the Branch Manager to determine the staffing needs for individual Financial Professionals ("FP") and other branch office positions.
* Initiate and review support staff training to assure peak productivity levels for all support staff within the branches. Coordinate all training and advanced training of newly hired employees and experienced support staff.
* Implement and assure compliance with all Human Capital policies. Serve as a liaison between Human Capital and the branches. Participate in compensation review of support staff personnel; make recommendations as requested by the Branch Manager. Review and advise on quarterly staff ratio reports.
* Assist in the investigation of employee complaints and personnel issues to include progressive disciplinary action, sexual harassment and discrimination situations and terminations. Work with Human Capital until a satisfactory resolution is obtained.
* Participate in the hiring and management of all branch office support staff. Deliver the new employee paperwork and follow up until completed to initiate the background check and on boarding process. Facilitate new employee processing and process employment records.
* Monitor and approve payroll time entries, weekly on the automated payroll system.
* Oversee the cashiering functions in the branch(es) to ensure compliance with Company policies and procedures to included training or re-training cashiering personnel, incoming and outgoing funds, transfers etc. Designate, serve as backup or personally perform the operations duties of the branch if the size of the office requires it.
* Work with the Branch Manager and Transition Team to coordinate the transition of new FPs. Coordinate the HC processes, the ordering of supplies and equipment, the account transfer process, training etc. to ensure a smooth transition.
* Assist in the opening of new Registered Branch Offices. Coordinate the ordering of supplies, office equipment, office furniture, telephones, equipment etc.
* Oversee the processing of all cancel & rebills, trade corrections and any other errors. Serve as the liaison between the FP and back office to resolve any problems. Follow-up until resolved.
* Serve as the primary point of contact to assist in the resolution of Operations issues. Assist branch personnel to troubleshoot and communicate issues to the appropriate department to ensure the accurate and timely resolution of the issue. Follow through until resolved.
* Participate in various weekly and monthly meetings. Disseminate information to appropriate personnel through regular staff meetings and other communications. Implement any policy and procedural changes.
* Assist BOM with the management office expenses. Review and approve all invoices, office and FP expenses and submit to accounting for payment. Review monthly P&L or Income and Expense reports if requested by BOM.
* Assist BOM with the annual budgeting process.
* Review travel and expense reports if requested by BOM.
* Plan and execute various events for the branch(es). Events include a holiday party,, summer party, client appreciation events, etc.
* Utilize the firm's Advertising approval workflow system as needed.
* Maintain office files in compliance with company policies and procedures, branch standardization policy and industry rules and regulations. Respond to requests for files during the annual Branch Compliance Review/Exam.
* Perform principal-licensed supervisory functions as delegated by the BOM on the "Delegation of Duty" form.
* Follow firm guidelines and requirements for escalating client complaints.
* Serve as contact person for office maintenance issues, keys, locks, card keys, etc. Maintain building leases.
* Oversee the maintenance of the storage room, copy centers, shredding bins, kitchen and supplies.
* Branch contact for Business Continuity Plan.
* Regular, dependable, in-person attendance is an essential job function.
What we offer:
Competitive salary plus excellent benefits and perks including, but not limited to:
* Medical, Dental and Vision
* Company 401(k)and ESOP contribution
* Generous sick, vacation, and maternity/parental leave
* Paid holidays
* Professional Development Opportunities
* Tuition Reimbursement ($15,000 lifetime cap)
* Discounted personal insurance including home, auto and recreational vehicles
* Charitable gift-matching program
* Davidson Day of Giving - Our tradition of positively impacting communities in which we live and work.
D.A. Davidson has been in business for over 87 years As an employee-owned company, our success is driven by our high standards of business ethics, integrity and the belief that our Associates are our most important assets. We hope you will consider joining us
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.
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