Wealth Management Branch Manager - Series 9/10

We are seeking an individual with experience in management and holds an active FINRA Series 9/10.

Responsibilities

• Oversee the administration of branch operations and provision of comprehensive administrative support.
• Lead the recruitment, selection, onboarding, training, and management of the Client Service Associate team to ensure optimal performance.
• Conduct regular performance evaluations and make key personnel decisions related to compensation, promotions, and professional development.
• Educate and train all branch employees on administrative policies, procedures, and compliance requirements.
• Address and escalate supervisory issues when necessary, and ensure local follow-up on any issues identified by the management team.

Requirements

• 5+ years of management experience working within an established broker dealer or wealth management firm.
• Hold an active FINRA Series 9 and 10 License.
• Bachelor's degree within related field
• Proficiency and sound knowledge with FINRA regulations and client service policies and procedures.