Ensures education and tracking of financial advisors and other supervisors by coordinating annual compliance meetings, required Firm courses and regulatory requirements. Conducts regulatory-reguired annual financial advisor compliance interviews/audits.
The Sales and Service Manager is responsible for supervising branch employees and interviews, selects and trains new employees, sets and adjusts pay rates and work hours, directs daily work, monitors and implements compliance measures, administrates discipline , evaluates performance and makes hiring and termination recommendations .
Responsible for budget and profit margins to meet and exceed branch and business unit goals for sales and profitability. Generates leads to develop new business with major accounts to grow branch revenue and maintain margin goals.