Raymond James Financial, Inc

Branch Operations Manager (Alpharetta, GA)

Raymond James Financial, Inc$75K — $95K *
Finance & Insurance
Less than 5 years of experience
Job Overview by Ladders

Qualifications

  • Bachelor's degree in Accounting, Business Administration, or Finance
  • 3-6 years of general experience in the financial services industry
  • 1-3 years of managerial experience, preferably in operational management
  • Required FINRA licenses including Series 7, 9, 10, and 63/65/66
  • Ability to obtain additional state registrations as required

Responsibilities

  • Perform backup for operational functions as needed due to workloads or absences
  • Coordinate workflow between branch and home office personnel
  • Conduct self-audits of branch procedures
  • Assist Branch Manager with compliance and confidential matters
  • Control expenses and maintain operational efficiency
  • Order supplies and manage branch petty cash
  • Oversee recruitment, training, and supervision of branch operations associates
  • Evaluate workload distribution among support staff and adjust as needed

Benefits

  • Medical, dental, and vision insurance
  • Life insurance and critical illness insurance
  • Disability benefits
  • Retirement savings plan
  • Paid time off, including vacation and sick leave
  • Parental leave
Full Job Description
Job Description Summary
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.

Job Description

Responsibilities
  • 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.
  • Coordinate rent, facility, office maintenance and cleaning/security issues.
  • Recruits, selects, orients, trains and supervises branch operations associates.
  • In conjunction with the Branch Manager 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 to maintain efficient workflow.
  • 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


Education/Experience Requirements
  • Bachelor's degree and three 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


Licenses Required
  • SIE required provided that an exemption or grandfathering cannot be applied
  • Series 7, 9 & 10
  • Series 63, 65 and/or 66 as required by state
  • Ability to obtain additional securities and advisory state registrations if required by state


Education
Bachelor's: Accounting, Bachelor's: Business Administration, Bachelor's: Finance

Work Experience
General Experience - 3 to 6 years, Manager Experience - 13 months to 3 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)

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.

About Raymond James Financial, Inc

The Raymond James Technology and Communications Investment Banking Group is a committed and thoughtful partner that provides a full range of investment banking services and best practices. The group is comprised of experienced professionals that have extensive investment banking expertise. They leverage the industry expertise of Raymond James' award-winning research department. The group focuses on key sectors within technology and communications including: communications software, communication towers, defense electronics, enterprise software, internet infrastructure services, homeland security, IT services, mobile technology, semiconductors, software-as-a-service, telecommunications equipment, telecommunications infrastructure and support services, and wireless & wireline telecommunications services. They take pride in a client-centric approach to M&A, with focus on delivering independent solutions that creates value for the long term. The outcome of this unique approach may be seen in the successful transactions of their clients, including over 80 public offerings totaling $17 billion and over 85 strategic advisory transactions totaling over $5 billion in value since 1998.

Raymond James Financial, Inc Careers

Join the vibrant team at Raymond James Financial, Inc, a leading financial services company where innovation, leadership, and professional growth are at the forefront of our operations. As a hub of diversity and expertise, Raymond James offers unparalleled job opportunities that propel your career to new heights. Work You’ll Do At Raymond James Financial, Inc, you’ll collaborate with some of the most talented professionals in the financial industry. Our team is dedicated to providing strategic financial solutions and advice to our clients, helping them achieve their financial goals while fostering economic growth. With a culture rooted in leadership and diversity training, Raymond James is the perfect place to enhance your skills and thrive professionally. Join our market-leading team to assist a diverse range of clients, from individuals to large corporations, in navigating their financial planning with precision and innovative strategies. Lead in a role where your expertise directly influences the success and stability of our clients' financial futures. Work with a dynamic team of advisors and experts who are committed to pushing the boundaries of the financial sector through continuous innovation and exceptional client service. Raymond James Financial, Inc Job Opportunities Introducing the Raymond James Career Development Program We are committed to nurturing talent through our comprehensive career development program designed to provide every employee—from interns to senior leaders—with the tools and training necessary for success. Whether you’re just starting out with an internship or you’re a seasoned professional, Raymond James offers career paths that align with your ambitions and skills. Do Innovative Work Join a company where innovation is part of the daily routine. At Raymond James Financial, Inc, you’ll engage with cutting-edge financial tools and resources that keep you ahead in the industry. Our commitment to technology and innovation ensures that we stay at the forefront of financial services. Be Part of a Great Team Experience a collaborative environment where teamwork and networking are encouraged. Our inclusive culture supports diversity and offers benefits that ensure the well-being of all team members. At Raymond James, you’re not just an employee; you’re part of a family that values your unique contributions and supports your professional journey. Future-Proof Your Career Advance your career with Raymond James, where opportunities for growth are abundant. Benefit from our industry-leading training programs and gain certifications that will elevate your professional standing. With a focus on career longevity and satisfaction, Raymond James ensures that your professional journey is as rewarding as it is successful. Explore Discover the various positions available at Raymond James Financial, Inc that match your skills and interests. We are continuously hiring across multiple disciplines, eager to welcome passionate, curious, and solution-driven team players. Stay Connected Join Our Team Search open positions at Raymond James Financial, Inc and find the perfect match for your career aspirations. Explore a range of opportunities from financial advising to corporate roles that align with your professional skills and goals. Keep Up to Date Stay informed with the latest career tips, insider perspectives, and industry-leading insights—all from the professionals who thrive at Raymond James. Job Alert Emails Customize your subscription to receive job alerts, latest news, and insider tips tailored to your preferences. Discover the exciting and rewarding career opportunities waiting for you at Raymond James Financial, Inc. Join Raymond James Financial, Inc today and be part of a company that values innovation, leadership, and professional growth. Your future in the financial industry starts here.
Learn more about Raymond James Financial, Inc
Size
15,000 employees
Market Cap
$22.6 billion
Industry
Net Income
$862 million
5 Year Trend
+11.6%
Revenue
$8.3 billion
NASDAQ

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