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Responsibilities

+ Become trained and skilled to effectively and efficiently function in the Operations Manager role:

+ 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.

+ May review branch invoices and operating statements.

+ Maintains branch operational manuals.

+ 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.

+ Performs other duties and responsibilities as assigned. May perform some Branch Manager duties if Series 9 & 10 licensed.

+ 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 personnel 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.

Knowledge Of:

+ Comprehensive understanding of company policies and procedures and industry rules and regulations.

Skilled in:

+ Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

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.

+ 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.

+ Employ good analytical skills to be able to research account information and resolve problems.

+ Establish and communicate clear directions and priorities.

+ Utilize good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel.

+ Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.

+ Effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

+ Work independently, under minimal supervision.

Education

+ Bachelors degree from four-year college or university in related field and a minimum of one (1) year experience in the financial services industry, preferably including related operational management and supervisory experience.

+ ~or~

+ Any 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 66 (or 63 and 65) required.

+ Ability to obtain Series 9 & 10 within six (6) months of hire.

+ Ability to obtain additional securities and advisory state registrations if required by state.

Travel Required

20 % of the Time