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Posted : Sunday, February 11, 2024 02:35 PM
Job Description:
D.
A.
Davidson, an employee-owned Financial Services firm, has an exciting opportunity for a Branch Manager to lead and grow our Newport, Long Beach and Carlsbad California branches.
In this business-critical role, you will lead, coach, and supervise Financial Professionals and Branch Staff to deliver exceptional client service while ensuring compliance with company policies and procedures and industry rules and regulations.
Additionally, the Branch Manager actively engages in ongoing recruiting activities in support growth initiatives.
Experience and Skills: Qualifications: • Applicable industry exams: Series 7, 66 (or combination of Series 63 and 65) and 9 and 10 (or combination of Series 24, 4, and 53).
• 5+ years licensed brokerage experience required.
• Bachelor’s Degree in Finance, Accounting or Business-related field strongly preferred.
• Demonstrated leadership, management and motivational skills.
• Excellent communication and interpersonal skills with the ability to build relationships with clients, prospects, colleagues and direct reports.
• Thorough knowledge of securities industry rules and regulations.
• Solid technology skills including Microsoft Word, Excel and Outlook.
• Ability to follow policies and procedures and maintain client confidentiality.
Duties: • Leads Responsible Growth while Embracing D.
A.
Davidson’s Core Values o Oversees day-to-day branch activities supporting productivity, compliance and excellent client service.
o Participates in various weekly and monthly meetings.
Disseminates information to appropriate personnel.
Implements all policy and procedural changes.
o Works with the Branch Office Operations Manager in the hiring and management of all branch office support staff.
o Leads employee engagement efforts to strengthen culture; represent the enterprise the community and promote and encourage involvement in the branch.
• Coaches Culture of Excellence o Manages and coaches Financial Advisors on current business practices, client acquisition and advises on leveraging solutions, tools and best practices.
o Conducts business planning and generally supports FAs to strengthen practices.
• Supervises and Manages Risk o Acts as the regulatory supervisor and manages supervisory tasks that need to be completed on-site.
o Model’s standards of conduct and holds FAs and Associates accountable to them.
o Conducts Annual Account Reviews with each FA within your branch.
o Conducts periodic onsite visits to satellite branch offices as well as alternative work locations for personnel working in remote locations.
o Reviews complaints received and works with the Compliance department on resolution.
o Acts as primary on-site contact for all branch examinations (internal and external).
o Leads by completing mandates and required trainings; ensures office completion.
* Certain supervisory/regulatory duties may or may not be delegated to the Assistant Branch Manager, Supervisory Branch Operations Manager or other appropriate delegate.
Reference the Branch Manager Delegation of Duty Form for a complete list of delegation duties.
• Manages Branch Financials o Develops branch’s overall budget and manages the budget to expected results.
o Monitors monthly P&L and staff ratio requirements.
• Identifies and Executes Inorganic Growth Objectives o Engages in ongoing recruiting activities working to develop a pipeline of current and potential recruit candidates o Recruits high performing advisors, reflecting the communities we serve.
• Performs other duties and special projects as necessary.
What we offer: Competitive salary plus excellent benefits and perks including, but not limited to: • Medical, Dental and Vision • Company 401(k)and ESOP contribution • Generous sick, vacation, and maternity/parental leave • Paid holidays • Professional Development Opportunities • Tuition Reimbursement ($15,000 lifetime cap) • Discounted personal insurance including home, auto and recreational vehicles • Charitable gift-matching program • Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.
Total compensation is a “target” of $350,000, pending experience.
D.
A.
Davidson has been in business for over 87 years! As an employee-owned company, our success is driven by our high standards of business ethics, integrity, and the belief that our Associates are our most important assets.
We offer a robust compensation package as well as competitive health benefits, company 401(k)and ESOP contribution, charitable gift-matching program and most importantly, an enviable corporate culture.
We are an equal opportunity employer and value diversity at our company.
We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment.
Please contact us to request accommodation.
From: D.
A.
Davidson Companies
A.
Davidson, an employee-owned Financial Services firm, has an exciting opportunity for a Branch Manager to lead and grow our Newport, Long Beach and Carlsbad California branches.
In this business-critical role, you will lead, coach, and supervise Financial Professionals and Branch Staff to deliver exceptional client service while ensuring compliance with company policies and procedures and industry rules and regulations.
Additionally, the Branch Manager actively engages in ongoing recruiting activities in support growth initiatives.
Experience and Skills: Qualifications: • Applicable industry exams: Series 7, 66 (or combination of Series 63 and 65) and 9 and 10 (or combination of Series 24, 4, and 53).
• 5+ years licensed brokerage experience required.
• Bachelor’s Degree in Finance, Accounting or Business-related field strongly preferred.
• Demonstrated leadership, management and motivational skills.
• Excellent communication and interpersonal skills with the ability to build relationships with clients, prospects, colleagues and direct reports.
• Thorough knowledge of securities industry rules and regulations.
• Solid technology skills including Microsoft Word, Excel and Outlook.
• Ability to follow policies and procedures and maintain client confidentiality.
Duties: • Leads Responsible Growth while Embracing D.
A.
Davidson’s Core Values o Oversees day-to-day branch activities supporting productivity, compliance and excellent client service.
o Participates in various weekly and monthly meetings.
Disseminates information to appropriate personnel.
Implements all policy and procedural changes.
o Works with the Branch Office Operations Manager in the hiring and management of all branch office support staff.
o Leads employee engagement efforts to strengthen culture; represent the enterprise the community and promote and encourage involvement in the branch.
• Coaches Culture of Excellence o Manages and coaches Financial Advisors on current business practices, client acquisition and advises on leveraging solutions, tools and best practices.
o Conducts business planning and generally supports FAs to strengthen practices.
• Supervises and Manages Risk o Acts as the regulatory supervisor and manages supervisory tasks that need to be completed on-site.
o Model’s standards of conduct and holds FAs and Associates accountable to them.
o Conducts Annual Account Reviews with each FA within your branch.
o Conducts periodic onsite visits to satellite branch offices as well as alternative work locations for personnel working in remote locations.
o Reviews complaints received and works with the Compliance department on resolution.
o Acts as primary on-site contact for all branch examinations (internal and external).
o Leads by completing mandates and required trainings; ensures office completion.
* Certain supervisory/regulatory duties may or may not be delegated to the Assistant Branch Manager, Supervisory Branch Operations Manager or other appropriate delegate.
Reference the Branch Manager Delegation of Duty Form for a complete list of delegation duties.
• Manages Branch Financials o Develops branch’s overall budget and manages the budget to expected results.
o Monitors monthly P&L and staff ratio requirements.
• Identifies and Executes Inorganic Growth Objectives o Engages in ongoing recruiting activities working to develop a pipeline of current and potential recruit candidates o Recruits high performing advisors, reflecting the communities we serve.
• Performs other duties and special projects as necessary.
What we offer: Competitive salary plus excellent benefits and perks including, but not limited to: • Medical, Dental and Vision • Company 401(k)and ESOP contribution • Generous sick, vacation, and maternity/parental leave • Paid holidays • Professional Development Opportunities • Tuition Reimbursement ($15,000 lifetime cap) • Discounted personal insurance including home, auto and recreational vehicles • Charitable gift-matching program • Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.
Total compensation is a “target” of $350,000, pending experience.
D.
A.
Davidson has been in business for over 87 years! As an employee-owned company, our success is driven by our high standards of business ethics, integrity, and the belief that our Associates are our most important assets.
We offer a robust compensation package as well as competitive health benefits, company 401(k)and ESOP contribution, charitable gift-matching program and most importantly, an enviable corporate culture.
We are an equal opportunity employer and value diversity at our company.
We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment.
Please contact us to request accommodation.
From: D.
A.
Davidson Companies
• Phone : NA
• Location : Newport, CA
• Post ID: 9142343539
