"Alerted.org

Responsibilities

+ Recruits, selects, orients, trains and supervises branch associates.

+ In conjunction with the Branch Manager conducts ongoing performance management, schedules performance appraisals and salary reviews of operations associates, and maintains branch associate files.

+ Reviews daily work of associates; Evaluates workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow.

+ Ensures daily staffing levels and cross-training as adequate.

+ Coordinates registrations, continuing education, licensing, etc. of branch personnel.

+ Assists with daily trading and other office activities.

+ Assists with reviews of client accounts and resolution of client complaints.

+ May assist in the development and monitoring of office revenue and expense budgets.

+ May assist Branch Manager in managing their book of business.

+ May be responsible for ensuring compliance with firm and regulatory policies and procedures including but not limited to daily trade blotters, MARS reports, incoming client correspondence, new account form approvals, and advertising approvals.

+ Assists Branch Manager in disseminating information at regular branch meetings.

+ Performs other duties and responsibilities as assigned. May perform some Branch Manager duties.

Education/Experience Requirements

+ Bachelor’s degree and five years’ experience in the financial services industry, 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 grandfatheringcannot beapplied

+ Series7

+ Series 9 & 10 if required bybusiness unit

+ Series 63, 65 and/or 66 as required bystate

+ Ability to obtain additionalsecurities and advisory state registrations if required bystate