**Essential Duties and Responsibilities** • Evaluates branch structure and strategic plan, including future growth as needed, to promote overall efficiency and profitability while maintaining a commitment to excellent service. Develops and implements plans to meet office sales goals. • Responsible for compliance oversight and ensuring adherence to firm and regulatory policies and procedures. • Performs reviews of client accounts and documents and resolves client complaints. • Coordinates registrations, continuing education, licensing, etc. of branch personnel. • Oversees daily trading and other office activities. • Supervises daily trading and other office activities. • Facilitates sales promotion activities such as seminars and luncheons/dinners as well as inform FA’s about new products and RJA managed underwritings. • Develops and monitors office revenue and expense budgets. • May attract, select, orient, train, and retain Financial Advisors (FAs) and support staff. • May conduct ongoing performance appraisals, scheduled performance appraisals and salary reviews of operations associates, and maintains branch associate files. • May review daily work of associates; evaluate workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow. • May ensure daily staffing levels and cross-training is adequate. • Participates in community affairs as a representative of the firm. • Services clients in his/her own book of business. • Performs other duties and responsibilities as assigned. **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** • Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude. • Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes. • Project a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment. • Continuously learn investment products, industry rules and regulations, and financial planning. • 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. **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.