The position works with the Branch Manager to ensure the branch runs smoothly and complies with company policies and procedures and security industry rules and regulations.
(Including specific Education and License requirements)
- Applicable industry exams: Series 7, 66, 24 or 9 and 10.
- Prior supervisory experience.
- General knowledge of accounting principles.
- Thorough knowledge of Company policies and procedures.
- Seasoned experience in the securities business.
- 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.
- Work with the BOM to determine the staffing needs for individual FCs and other branch office positions.
- Coordinate the work activities of the branch support staff.
- Coordinate support staff training.
- Assist BOM in the onboarding process which may include: initiate background check process, delivery of new employee paperwork, facilitate new hire forms and processing.
- Oversee cashiering functions of branch to ensure compliance with policies and procedures. Designate, serve as backup or personally perform the operations duties of the branch if the size of the office dictates it.
- Work with the Branch Manager and Sales/Operations Liaison to coordinate the transition of new FCs. Coordinate the HR process, 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.
- Participate in various weekly and monthly meetings. Disseminate information to appropriate personnel. Implement any policy and procedural changes.
- Coordinate approval of branch invoices and forward to accounting for processing.
- Oversee planning and execution of various events (such as holiday parties and client appreciation events) for the branch.
- Oversee the approval of advertising for the branch. Obtain Branch Manager and Regional Supervisory approval as required.
- Maintain office files in compliance with company policies and procedures, branch standardization policy and industry rules and regulations. Respond to requests for files during the annual Branch Compliance Review/Exam. Oversee the maintenance of the centrally located files in the branch for retention accuracy and content.
- Serve as contact person for office maintenance issues, continuity plan, keys, locks, card keys, etc. Maintain building leases.
- Oversee the maintenance of the storage room, copy centers, shredding bins, kitchen and supplies.
- Serve as the liaison to the IT department –hardware and software.
Davidson Companies - 12 months ago