Branch Manager-Pasadena, CA

Job Summary
Oversee the day-to-day operations of a Raymond James & Associates (RJA) retail branch. May service clients in his/her own book of business.

Essential Duties and Responsibilities

1. Attracts, selects, orients, trains, and retains Financial Advisors (FAs) and support staff.
2. Continually evaluates branch structure and strategic plan, including future growth as needed, to promote overall efficiency and profitability while maintaining a commitment to excellent service.
3. Responsible for compliance oversight and ensuring adherence to firm and regulatory policies and procedures.
4. Supervises daily trading and other office activities.
5. Documents and resolves client complaints.
6. Performs reviews of client accounts.
7. Develops and implements plans to meet office sales goals.
8. Facilitates sales promotion activities such as seminars and luncheons/dinners.
9. Develops and monitors office revenue and expense budgets.
10. Informs FAs about new products and RJA managed underwritings.
11. Participates in community affairs as a representative of the firm.
12. May service clients in his/her own book of business.
13. Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities
Knowledge of:

• Company’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