**Description**

**Job Summary**

Oversee the day-to-day operations of a Raymond James & Associates (RJA) retail branch. May service clients in his/her own book of business.

**Essential Duties and Responsibilities**

* Attracts, selects, orients, trains, and retains Financial Advisors (FAs) and support staff.

* Continually evaluates branch structure and strategic plan, including future growth as needed, to promote overall efficiency and profitability while maintaining a commitment to excellent service.

* Responsible for compliance oversight and ensuring adherence to firm and regulatory policies and procedures.

* Supervises daily trading and other office activities.

* Documents and resolves client complaints.

* Performs reviews of client accounts.

* Develops and implements plans to meet office sales goals.

* Facilitates sales promotion activities such as seminars and luncheons/dinners.

* Develops and monitors office revenue and expense budgets.

* Informs FAs about new products and RJA managed underwritings.

* Participates in community affairs as a representative of the firm.

* May service clients in his/her own book of business.

* Performs other duties and responsibilities as assigned.

**Qualifications**

**Knowledge, Skills, and Abilities**

**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.

* Identifies the needs of customers through effective questioning and listening techniques.

**Ability to**

* Continuously learn investment products, industry rules and regulations, and financial planning.

* Provide a high level of customer service.

* Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

* Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.

* Articulate reasons behind decisions.

* Keep all appropriate parties up-to-date on decisions, changes, and other relevant information.

* Establish and maintain effective working relationships with others.

* Identify problems, gather facts, and develop solutions.

**Educational/Previous Experience Requirements**

**Education/Previous Experience**

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

* OR ~

* An 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 9 & 10 (or 8) required.

* Series 63 & 65, or 66 as required by state.

* Life, Health, and Variable Annuity Insurance Licenses.

* NFA Commodities License required if any commodities trading is done at the branch.

**Job:** Administrative & Support Services

**Primary Location:** US-AZ-Chandler-Chandler

**Organization** Western

**Schedule** Full-time

**Job Shift** Day Job

**Travel** Yes, 20 % of the Time

**Req ID:** 2402426