Branch Operations Manager Trainee

Responsibilities:

• 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.

Knowledge of:

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

Skill in:

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases

Ability to:

• 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

• 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.

• OR

• Any 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 66 (or 63 and 65) required.

• Ability to obtain Series 9 & 10 within six (6) months of hire.

• Ability to obtain additional securities and advisory state registrations if required by state.