Branch Manager-Portland, OR

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. 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.

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