Job Description Summary

Job Description

Essential Duties and Responsibilities
• Evaluates branch structure and strategic plan, including future growth as needed, to promote

overall efficiency and profitability while maintaining a commitment to excellent service. Develops

and implements plans to meet office sales goals.
• Responsible for compliance oversight and ensuring adherence to firm and regulatory policies and procedures.
• Performs reviews of client accounts and documents and resolves client complaints.
• Coordinates registrations, continuing education, licensing, etc. of branch personnel.
• Oversees daily trading and other office activities.
• Supervises daily trading and other office activities.
• Facilitates sales promotion activities such as seminars and luncheons/dinners as well as inform FA's about new products and RJA managed underwritings.
• Develops and monitors office revenue and expense budgets.
• May attract, select, orient, train, and retain Financial Advisors (FAs) and support staff.
• May conduct ongoing performance appraisals, scheduled performance appraisals and salary

reviews of operations associates, and maintains branch associate files.
• May review daily work of associates; evaluate workload and responsibilities of support staff to

determine necessary assignment changes to maintain efficient workflow.
• May ensure daily staffing levels and cross-training is adequate.
• Participates in community affairs as a representative of the firm.
• Services clients in his/her own book of business.
• Performs other duties and responsibilities as assigned.

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.

Skill in
• Operating standard office equipment and using required software applications to produce

correspondence, reports, electronic communication, spreadsheets, and databases.
• Preparing and delivering clear, effective, and professional presentations.
• Identifies the needs of customers through effective questioning and listening techniques.

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.
• Establish and maintain a respected position of leadership to influence, motivate and persuade

others to achieve desired outcomes.
• 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.
• Continuously learn investment products, industry rules and regulations, and financial planning.
• Organize, manage, and track multiple detailed tasks and assignments with frequently changing

priorities and deadlines in a fast-paced work environment.
• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.
• Articulate reasons behind decisions.
• Keep all appropriate parties up-to-date on decisions, changes, and other relevant information.
• Establish and maintain effective working relationships with others.
• Identify problems, gather facts, and develop solutions.

Education/Previous Experience
• Bachelor's degree (B.A.) from four-year college or university, and a minimum of three (3) years

experience in a financial services firm.

OR ~
• An 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 9 & 10 (or 8) required.
• Series 63 & 65, or 66 as required by state.
• Life, Health, and Variable Annuity Insurance Licenses.
• NFA Commodities License required if any commodities trading is done at the branch.

Education
Bachelor's: Accounting, Bachelor's: Business Administration, Bachelor's: Finance, High School (HS) (Required)

Work Experience
General Experience - 10 to 15 years, Manager Experience - 6 to 10 years

Certifications
s10 - General Securities Sales Supervisor - General Module Examination - Financial Industry Regulatory Authority (FINRA), s66 - Uniform Combined State Law Examination - Financial Industry Regulatory Authority (FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA), s9 - General Securities Sales Supervisor - Options Module Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Salary Range
$35,568.00-$250,000.00

Travel
Less than 25%

Workstyle
Resident

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include 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); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.