Branch Service Manager/Registered Client Associate
Core
Branch Service Manager acting as primary liaison between Complex management and branch, overseeing staff operations, client account onboarding, and securities processing.
Role type
Branch Service Manager (player-coach)
Builds
Operational efficiency and client account integrity within a wealth management branch
Domain
Financial Services / Wealth Management
Required skills
Financial services experience, industry rules/regulations knowledge, Series 7 and 66 (or 63/65) license, staff supervision, securities handling, trade processing, fund transfers
Preferred skills
Bachelor's degree, prior supervisory experience
Technologies
Computer systems for securities and account management
Responsibilities
Oversee branch staff and operations including onboarding and training; Ensure communication of policy changes; Onboard new accounts and record securities; Oversee cage activities for transaction processing; Assist clients with account questions and process trades/funds.
Seniority
Mid-level, supervisory IC