Branch Office Manager

    • Job Tracking ID: 85444-352692
    • Job Location: Carlsbad, CA
    • Job Level: Any
    • Level of Education: Any
    • Job Type: Full-Time/Regular
    • Date Updated: 11/17/2022
    • Years of Experience: Not Applicable
    • Starting Date: ASAP
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Job Description

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering exceptional service to our clients and each other.

We are currently seeking an experienced manager/recruiter to join and grow our North County presence. The Branch manager is responsible for leading and motiving Financial Advisors and Branch Staff and establishing a productive, high-performance environment delivering exceptional client service. Additionally, the Branch Manager engages in ongoing recruiting activities meeting or exceeding regional and departmental goals.

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 with a thorough knowledge of securities industry rules and regulations.
* 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..
* Solid technology skills including Microsoft Word, Excel and Outlook.
* Ability to follow policies and procedures and maintain client confidentiality.
* Ability to maintain regular, predictable attendance.

Duties:
* Review and approve Financial Advisor activity, client documentation and communication, and asset movement as defined by Davidson’s current policies.
* Engages in ongoing Advisor recruiting activities working to develop a pipeline of current and potential recruit candidates.
* Oversees day-to-day branch activities supporting productivity, compliance and excellent client service.
* Participates in various weekly and monthly meetings. Disseminates information to appropriate personnel. Implements any policy and procedural changes.
* Reviews monthly P&L and staff ratio requirements. Manage expenses appropriately.
* Manages and coach Financial Advisors on current business practices, client acquisition and advises on leveraging tools and best practices.
* Works with the Branch Office Operations Manager in the hiring and management of all branch office support staff including delivering annual reviews and providing ongoing performance feedback.
* Acts as primary on-site contact for all branch examinations (internal and external).
* Performs other duties and special projects as necessary.

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.