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CResponsibilities

+ Evaluates branch structure and strategic plan, including future growth as needed, to promote overall efficiency and profitability whilemaintaininga 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.

+ Overseesdaily trading and other office activities.

+ Supervises daily trading and other office activities.

+ Facilitates sales promotion activities such as seminars and luncheons/dinners as well asinformFA’sabout new products and RJA managed underwritings. .

+ Develops and monitors office revenue and expense budgets.

+ May attract, select, orient, train, andretainFinancial Advisors (FAs) and support staff.

+ May conduct ongoing performance appraisals,scheduledperformance appraisals and salary reviews of operations associates, andmaintainsbranch associate files.

+ May review daily work of associates; evaluate workload and responsibilities of support staff todeterminenecessary assignment changes tomaintainefficient workflow.

+ May ensure daily staffing levels and cross-trainingisadequate.

+ 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.

+ Identifiesthe needs of customers through effective questioning and listening techniques.

Ability to

+ Handle stressful situations and lead others in providinga high levelof customer service in a calm and professional manner, constantly projecting a Service 1st attitude.

+ Establish andmaintaina respected position of leadership to influence,motivateand persuade others to achieve desired outcomes.

+ Project a professional and pleasant appearance and demeanor to work with clients;utilizetact 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 withfrequentlychanging priorities and deadlines in a fast-paced work environment.

+ Useappropriate interpersonalstyles and communicate effectively, both orally and in writing, with all organizational levels.

+ Articulate reasons behind decisions.

+ Keep allappropriate partiesup-to-dateon decisions, changes, and other relevant information.

+ Establish andmaintaineffective working relationships with others.

+ Identifyproblems, gather facts, and develop solutions.

Education

+ Bachelor’s degree (B.A.) from four-year college or university, and a minimum of three (3)years experiencein a financial services firm.

+ OR ~

+ An equivalent combination of experience, education, and/or training as approved by Human Resources.

Licenses/Certifications

+ SIErequiredprovided 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 Licenserequiredif any commodities trading is done at the branch.