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share in that success. We welcome you to explore the opportunities to join our team.

Branch Operations Manager, Registered Client Associate

Summary:

The position works with the Branch Manager (BM) to ensure the branch runs smoothly and complies with company policies and procedures and security industry rules and regulations.

Qualifications:

  • Applicable industry exams: Series 7, 65 or 66, and 24.
  • Prior supervisory experience.
  • General knowledge of accounting principles.
  • Thorough knowledge of Company policies and procedures.
  • Seasoned experience in the securities business.
  • Strong interpersonal skills.
  • Strong organizational skills and attention to detail.
  • Ability to operate a PC and work in an automated environment.
  • Thorough knowledge of securities industry rules and regulations.
  • Familiar with Microsoft Word, Excel and Outlook.
  • Excellent communication skills, both oral and written.
  • Follow policies and procedures. Maintain client confidentiality.
  • Communicate in a clear and service oriented manner. Use appropriate, professional language and grammar to effectively exchange ideas and information.
  • Ability to proactively work with both external and internal clients. Relate with others in a professional manner in order to accomplish work responsibilities and objectives.
  • Ability to maintain regular, predictable attendance.

Duties:

  • Provide consistent, professional, and courteous customer service to ensure client satisfaction.
  • Ensure adherence to all Branch, Firm and Compliance policies, procedures, rules and regulations.
  • Facilitate the transfer of client funds and/or securities and the issuance of checks upon request.
  • Enter orders to include buy/sell stock and bond trades, sell stop orders, option and margin trades and mutual funds.
  • Coordinate the work activities of the branch support staff.
  • Coordinate support staff training.
  • Work with the Branch Manager and Sales/Operations Liaison to coordinate the transition of new FAs. Coordinate the HR processes, the ordering of supplies and equipment, the account transfer process, training etc. to ensure a smooth transition.
  • Serve as the primary point of contact to assist in the resolution of Operations issues. Assist branch personnel to troubleshoot and communicate issues to the appropriate department to ensure the accurate and timely resolution of the issue. Follow through until resolved.
  • Maintain office files in compliance with company policies and procedures, branch standardization policy and industry rules and regulations.
  • Posted: Mar 29, 2017

  • Location: Encino, CA