Supervisory Branch Office Operations Manager at D.A. Davidson

Charleston, South Carolina, United States

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Not SpecifiedCompensation

Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, SecuritiesIndustries

Requirements

Applicable industry exams: FINRA SIE, Series 7, 66 (or 63/65), and 9/10 (or 24/4/53)
Prior managerial experience
Seasoned experience in the securities industry, knowledge of industry rules and regulations
Thorough knowledge of, and adherence to, Company policies and procedures
Strong organizational skills and attention to detail
Solid technology skills, including familiarity with Microsoft tools (Word, Excel, Outlook, Teams, CRM)
Excellent communication skills, both oral and written
Excellent communication and interpersonal skills with the ability to work proactively with both external and internal clients
Ability to maintain regular, predictable attendance

Responsibilities

Coordinate the work activities of the branch support staff to contribute to efficient and effective branch operations; work with the Branch Manager to determine staffing needs for individual Financial Professionals (“FP”) and other branch office positions
Initiate and review support staff training to assure peak productivity levels for all support staff within the branches; coordinate all training and advanced training of newly hired employees and experienced support staff
Implement and assure compliance with all Human Capital policies; serve as a liaison between Human Capital and the branches; participate in compensation review of support staff personnel and make recommendations as requested by the Branch Manager; review and advise on quarterly staff ratio reports
Assist in the investigation of employee complaints and personnel issues to include progressive disciplinary action, sexual harassment and discrimination situations and terminations; work with Human Capital until a satisfactory resolution is obtained
Participate in the hiring and management of all branch office support staff; deliver the new employee paperwork and follow up until completed to initiate the background check and onboarding process; facilitate new employee processing and process employment records
Monitor and approve payroll time entries, weekly on the automated payroll system
Oversee the cashiering functions in the branch(es) to ensure compliance with Company policies and procedures including training or re-training cashiering personnel, incoming and outgoing funds, transfers etc.; designate, serve as backup or personally perform the operations duties of the branch if the size of the office requires it
Work with the Branch Manager and Transition Team to coordinate the transition of new FPs; coordinate the HC processes, the ordering of supplies and equipment, the account transfer process, training etc. to ensure a smooth transition
Assist in the opening of new Registered Branch Offices; coordinate the ordering of supplies, office equipment, office furniture, telephones, equipment etc
Oversee the processing of all cancel & rebills, trade corrections and any other errors; serve as the liaison

Skills

FINRA SIE

Series 7

Series 66

Series 9

Series 10

Microsoft Word

Microsoft Excel

Microsoft Outlook

Microsoft Teams

CRM

Securities Regulations

D.A. Davidson

Provides wealth management and financial advisory services

About D.A. Davidson

D.A. Davidson & Co. provides personalized wealth management and financial advisory services to individuals, families, and businesses primarily in the United States. The firm offers a variety of services, including investment management, financial planning, and trust services, aimed at helping clients align their portfolios with their financial goals. D.A. Davidson employs a research-based approach to tailor solutions for a diverse client base, which includes individual investors and business owners. Unlike many competitors, D.A. Davidson has a long history dating back to 1935 and has grown through strategic acquisitions and organic growth, establishing a reputation as a trusted name in the financial services industry. The company's goal is to deliver personalized financial solutions that meet the unique needs of each client.

Great Falls, MontanaHeadquarters

2014Year Founded

VENTURE_UNKNOWNCompany Stage

Financial ServicesIndustries

1,001-5,000Employees

Benefits

Health Insurance

Dental Insurance

Vision Insurance

401(k) Company Match

Paid Vacation

Paid Sick Leave

Paid Holidays

Professional Development Budget

Tuition Reimbursement

Employee Discounts

Company Social Events

Risks

Competition in AI-driven financial services could challenge D.A. Davidson's market position.

Rapid AI technology evolution may outpace D.A. Davidson's current capabilities.

Resource diversion to Diversified Industrials may affect overall service quality.

Differentiation

D.A. Davidson offers personalized wealth management and financial advisory services in the U.S.

The firm has a strong focus on small to middle-market companies across various sectors.

D.A. Davidson's research-based approach aligns client portfolios with financial goals.

Upsides

The rise of digital wealth management platforms enhances personalized investment advice delivery.

Growth in middle-market private equity presents opportunities for D.A. Davidson's advisory services.

Increased focus on sustainable finance aligns with D.A. Davidson's advisory offerings.

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