Branch Operations Manager - Hunt Valley, MD

Under branch manager direction manage the overall operational efficiency of the branch office. Directs day to day operational functions, ensuring compliance with firm and regulatory policies and procedures. Uses extensive knowledge and skills obtained through education and experience to identify, research, analyze and resolve complex issues.

Responsibilities

Under branch manager direction manage the overall operational efficiency of the branch office; Directs day to day operational functions, ensuring compliance with firm and regulatory policies and procedures; 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; Maintains accounting of branch petty cash; May review branch invoices and operating statements; 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; Recruits, selects, orients, trains and supervises branch operations associates; Conducts ongoing performance management, scheduled performance appraisals and salary reviews of operations associates, and maintains branch associate files; Reviews daily work of operations associates; Evaluates workload and responsibilities of support staff to determine necessary assignment changes; 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, may perform some Branch Manager duties

Requirements

Bachelor's degree (B.A.) from four-year college or university in related field and three (3) years experience in the financial services industry, preferably including related operational management and supervisory experience; OR an 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, 9 & 10 required; Series 63, 65 and/or 66 as required by state; Ability to obtain additional securities and advisory state registrations if required by state; Knowledge of company policies and procedures and industry rules and regulations; Knowledge of investment concepts, practices and procedures used in the securities industry; Knowledge of financial markets and products; Knowledge of human resource management principles and practices; Ability to operate standard office equipment and required software applications (correspondence, reports, spreadsheets, databases); Ability to handle stressful situations and lead others in providing a high level of customer service; Ability to employ good analytical skills to research account information and resolve problems; Ability to establish and communicate clear directions and priorities; Ability to use good interpersonal, verbal and written communication skills; Ability to organize, manage, track and complete multiple detailed tasks with frequently changing priorities and deadlines; Ability to work independently, under minimal supervision

Benefits

Medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); parental leave