E*TRADE Financial Corporation, an online investing & trading pioneer, with 4.5 million accounts in 40 countries and $200 billion in customer assets, is continuing to reinvent the online trading industry. Our unique culture of innovation creates an environment where you will be continually learning and challenged to develop your career.
The Branch Operations Manager (BOM) is responsible for providing oversight, operational and sales support to the Branch Managers they are assigned.
The BOM works to ensure the branch operates within our Policies & Procedures and that we provide an exceptional client experience.
The BOM is required to perform supervisory functions and is a delegate for the Branch Managers.
- Provides supervisory oversight to ensure that the branch is operating within E*TRADE’s Policies and Procedures and adhering to all other financial services regulatory requirements.
- Make recommendations for the further development and revision of E*TRADE FINANCIAL's policies and procedures based on the needs of our changing business environment, knowledge of regulatory requirements and a strong understanding of current policy and procedure.
- Work with Branch Managers and sales staff in order to achieve satisfactory audit ratings and conducts regular compliance visits and completes self-audit of branch procedures
- Secondary review and designee in the review and approvals of KYCs, RTQs and Investment Suitability
- Coordinates all workflow and staff activities in support of branch sales and operations
- Review and send incoming / outgoing emails
- Assist with TOA rejects and other issues - (ACAT, non-ACAT, mutual fund, etc)
- Research and Resolve promotions / marketing issues
- New account / application CIP Restrictions and NIGO
- Interacts with internal cross-functional partners to resolve client issues and escalations (Research and Resolution, Operations and Retirement and Tax)
- Partners with management and intervenes where appropriate to mitigate risk.
Focuses on identifying opportunities to create efficiencies on issues affecting the branch operations
- Act as a dedicated resource for all oversight and operations support functions on a wide range of customer issues, directly supporting the Financial Consultants (FCs) team and assisting their customers with account questions, issues and escalations.
- Reviews branch credits given to clients to ensure policy and procedure requirements are met
- Researches and resolves complex problems relating to client account inquiries and escalate client issues and complaints on operational matters to higher-level management, when necessary
- Work with FCs to communicate solutions directly or indirectly with clients in defined specialty areas: Margin calls, Account Transfers, Option Exercises, Reorganization
- Qualify and refer opportunities to FCs as a result of client interactions
- Communicate and educate all sales and support staff on firm operational guidelines and policies and procedures
- Follow-up on investment transaction status with internal management.
Other Miscellaneous Duties
- Responsible for providing customer service and assistance to walk-in customers while managing the front reception desk daily, as assigned.
- Perform secondary duties and projects as defined and assigned by Regional Managers
- When necessary, assist with stock certificate deposit, check deposits and complete corresponding blotters.
- A minimum of 5+ years experience in a Customer Service or Operations function in the Banking and/or Financial Services Industry.
Management and/or in-person Branch/Sales environment experience is a plus
- Familiarity with
compliance and regulatory guidelines within the brokerage industries
- Proven ability to work in a fast-paced, high-profile multi-tasking environment.
Must be flexible to shift projects as priorities change in a client-facing and sales oriented culture
- Must be detail-oriented with a strong aptitude for problem-solving, decision making and trouble shooting simple to complex issues with the ability to organize and prioritize work
- Must possess the ability to work autonomously
- Must have excellent written and verbal communication skills, organization and interpersonal skills.
Excellent customer service and professionalism
- Must be proficient in MS Office programs, specifically MS Outlook, Word, Excel and Power Point for financial reports, presentations, and other special projects, as required; knowledge of VISIO is a plus.
Strong technical aptitude and trouble shooting skills are necessary.
Knowledge of SalesForce.com is a plus
- Education or Training Equivalent to: BA/BS preferably in business administration, finance or related field
- Series 7, 63, 66 and 24 licenses required
- Regional travel is required (approx. 25%)
We offer a competitive and comprehensive benefits package. Please visit
to learn more about the opportunities.
E*TRADE Financial is an EQUAL OPPORTUNITY EMPLOYER
Amount of Travel
Work At Home
- 23 months ago - save job
E*TRADE is an innovative financial services company offering a full suite of easy-to-use online brokerage, investing and related banking...