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Branch Operations Manager

Raymond James

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Location:
United States , Carmel, Indiana

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Category:
Finance

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Contract Type:
Not provided

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Salary:

Not provided
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Job Description:

Job Description Summary

Job Responsibility:

  • 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

Requirements:

  • Bachelor’s degree and three years’ experience in the financial services industry, preferably including related operational management and supervisory experience
  • 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
  • Series 63, 65 and/or 66 as required by state
  • Ability to obtain additional securities and advisory state registrations if required by state
  • General Experience - 3 to 6 years
  • Manager Experience - 13 months to 3 years
  • s10 - General Securities Sales Supervisor - General Module Examination - Financial Industry Regulatory Authority (FINRA)
  • s63 - Uniform Securities Agent 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)

Additional Information:

Job Posted:
March 10, 2026

Employment Type:
Fulltime
Work Type:
On-site work
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