Assistant Branch Manager
Insperity - Chesterfield, MO

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LPL Financial , the nation's #1 Independent Broker-Dealer, has an opening at our Chesterfield, Missouri
Branch Office. Check us out at We are a fee-based wealth management firm, offering exceptional advice and services including comprehensive estate and financial planning, money management, tax planning and insurance. We are currently seeking a qualified Branch Operations Manager to join our friendly and professional team!

Assistant Branch Manager

Reporting directly to the Branch Manager, your client service focus and financial savvy will be vital as you lead staff members to work effectively with clients and Advisors alike. This role is critical to the efficient functioning of the office. Responsibilities include but are not limited to:
  • Facilitate firms annual strategic planning retreat and budgeting process
  • Spearhead and co-host semi-annual Advisory Board meetings
  • Champion the new hire process, coach, and lead team members
  • Manage client fee billing and invoicing
  • Prepare monthly dashboard / reporting package for senior management
  • Audit integrity of CRM data
  • Negotiate and manage vendor relationships
  • Coordinate and host various client / prospective client events (e.g., food & wine tastings, golf short game school)
  • Oversee firms gifting strategy and discover opportunities for random acts of kindness
  • Survey clients, tabulate and report on feedback
  • Set agenda for bi-monthly team meetings and disseminate minutes
  • Ensure compliance with all federal and state laws and regulations as well as LPL Financial standard operating procedures and requirements:
    • Maintain compliance manual
    • Primary liaison for LPL internal audits
    • Obtain advertising approval
    • Assist in supervision of branch office and advisor activity
    • Monitor branch email communications
    • Handle training and continuing education
    • Maintain firms website and social media outreach
    • Review commission processing: ensure accuracy of fee and commission statements and work with LPL home office commission team to resolve issues if they arise
    • Process payroll for the branch
    • Place occasional model portfolio trades as directed, review confirms, resolve trading issues
    • Various other ad hoc projects as required
    • Develop and maintain written systems of all activities
  • Bachelor's degree in required
  • 2+ years of previous supervisory/management experience
  • 3+ years of operations experience
  • Excellent knowledge of the securities industry's rules and regulations
  • FINRA Series 6, 7, 24 helpful but not required
  • Excellent analytical, interpersonal, organizational and time management skills

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