**Essential Duties and Responsibilities:** · Performs back-up for all operational functions as required by workloads and absences. · Works directly with home office personnel to coordinate branch-home office workflow. · Completes self-audit of branch procedures. · Assists Branch Manager with confidential matters and compliance visits and replies. · Assists Branch Manager with controlling expenses and operating at peak efficiencies. · Oversees ordering of supplies, purchase orders and postage usage. · Maintains accounting of branch petty cash. · May review branch invoices and operating statements. · Researches and resolves complex problems relating to client accounts and inquiries. · Assists Branch Manager in disseminating information at regular branch meetings. · Coordinate rent, facility, office maintenance and cleaning/security issues. · Recruits, selects, orients, trains and supervises branch operations associates. · In conjunction with the Branch Manager conducts ongoing performance management, scheduled performance appraisals and salary reviews of operations associates, and maintains branch associate files. · Reviews daily work of operations associates. · Evaluates workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow. · Ensures daily staffing levels and cross-training is adequate. · Coordinates registrations, continuing education, licensing, etc. of branch personnel. · Performs other duties and responsibilities as assigned. May perform some Branch Manager duties. **Knowledge Of:** · Company policies and procedures and industry rules and regulations. · Investment concepts, practices and procedures used in the securities industry. · Financial markets and products. · Human resource management principles and practices. **Ability To:** · Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. · 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. · 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. · Employ good analytical skills to be able to research account information and resolve problems. · Establish and communicate clear directions and priorities. · Utilize good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel. · Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes. · Effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment. · Work independently, under minimal supervision. **Education/Previous Experience:** · Bachelor’s degree (B.A.) from four-year college or university in related field and three (3) years experience in the financial services industry, preferably including related operational management and supervisory experience. · 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, 9 & 10 required. · Series 63, 65 and/or 66 as required by state. · Ability to obtain additional securities and advisory state registrations if required by state. **Travel Required:** Yes, 10 % of the Time