Branch Office Manager
Company: D.A. Davidson
Location: Seattle
Posted on: June 25, 2022
|
|
Job Description:
Back to job search
Job Description
Summary/Function:
Responsible for overall management of assigned branch or branches
including P&L. Supervises, leads and motivates Financial
Advisors and Branch Staff establishing a productive,
high-performance environment delivering exceptional client service.
Performs various human resources, operational, accounting,
supervisory/compliance and administrative functions to contribute
to branch sales and profit objectives and to ensure compliance with
company policies and procedures and industry rules and regulations.
Additionally, the Branch Manager engages in ongoing recruiting
activities meeting or exceeding regional and departmental
goals.
Experience and Skills
Qualifications:
* Applicable industry exams: Series 7, 66 (or combination of Series
63 and 65) and 9 and 10 (or combination of Series 24, 4, and
53).
* 5+ years licensed brokerage experience.
* Demonstrated leadership, management and motivational skills.
* General knowledge of accounting principles.
* Excellent communication skills with the ability to build
relationships with clients, prospects, colleagues and direct
reports.
* Strong organizational skills and attention to detail.
* Thorough knowledge of securities industry rules and
regulations.
* Solid computer skills including Microsoft Word, Excel and
Outlook.
* Ability to follow policies and procedures and maintain client
confidentiality.
* Ability to maintain regular, predictable attendance.
Duties:
* Review and approve Financial Advisor activity, client
documentation and communication, and asset movement as defined by
Davidson's current policy and procedure manual ("WSPs"); Branch
Guide to Operations ("BGO"); and Branch Standardization Guidelines.
Such review includes, but is not limited to, the following core
requirements:
o Approve new account forms and related paperwork, account update
forms, and option paperwork.*
o Review ProSurv trade blotter and related reports, as applicable,
and review activity flagged by alerts, as escalated by Regional
Supervisory Manager.*
o Work with Supervisory team to resolve Managed Asset paperwork
issues and quarterly Choice and/or Paragon Supervision reports.
o Approve outside business activity, brokerage accounts and
personal securities transactions for branch employees through
electronic attestation system, and conduct follow up review, as
warranted.
o Conduct an FA Annual Account Review with each FA within your
branch.
o Conduct periodic onsite visits to satellite branch offices as
well as alternative work locations for personnel working in remote
locations.
o Review complaints received and work with the Compliance
department on resolution.
o Review incoming client correspondence (including facsimiles);
outgoing client communication with the public, including
correspondence, sales literature, advertising, websites, social
media, and public speaking activities; and staff emails in email
review system.*
o Approve client asset movement such as ACH forms, LOAs and
Standing LOAs, DadVantage forms, IRA Distributions and Fed Wire.
Approve deliveries of checks to clients or banks as defined within
the BGO.*
o Retain and be able to explain branch books and records in
accordance with SEC Books and Records rules, and outlined in the
Branch Standardization Guidelines.
* Certain supervisory/regulatory duties may or may not be delegated
to the Assistant Branch Manager or Supervisory Branch Operations
Manager. Reference the Branch Manager Delegation of Duty Form for a
complete list of delegation duties.
* Engages in ongoing FA recruiting activities working to develop a
pipeline of current and potential recruit candidates.
* Oversees day-to-day branch activities supporting productivity,
compliance and excellent client service.
* Participates in various weekly and monthly meetings. Disseminates
information to appropriate personnel. Implements any policy and
procedural changes.
* Reviews monthly P&L and staff ratio requirements. Manage
expenses appropriately.
* Manages and coach Financial Advisors on current business
practices, client acquisition and advises on leveraging tools and
best practices.
* Works with the Branch Office Operations Manager in the hiring and
management of all branch office support staff including delivering
annual reviews and providing ongoing performance feedback.
* Acts as primary on-site contact for all branch examinations
(internal and external).
* Performs other duties and special projects as necessary.
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.
Keywords: D.A. Davidson, Seattle , Branch Office Manager, Executive , Seattle, Washington
Click
here to apply!
|