Branch Manager-Memphis, TNRaymond James Financial, Inc.

Essential Duties and Responsibilities

Evaluates branch structure and strategic plan, including future growth as needed, to promote

overall efficiency and profitability while maintaining a commitment to excellent service. Develops

and implements plans to meet office sales goals.

Responsible for compliance oversight and ensuring adherence to firm and regulatory policies and procedures.

Performs reviews of client accounts and documents and resolves client complaints.

Coordinates registrations, continuing education, licensing, etc. of branch personnel.

Oversees daily trading and other office activities.

Supervises daily trading and other office activities.

Facilitates sales promotion activities such as seminars and luncheons/dinners as well as inform FAs about new products and RJA managed underwritings.

Develops and monitors office revenue and expense budgets.

May attract, select, orient, train, and retain Financial Advisors (FAs) and support staff.

May conduct ongoing performance appraisals, scheduled performance appraisals and salary

reviews of operations associates, and maintains branch associate files.

May review daily work of associates; evaluate workload and responsibilities of support staff to

determine necessary assignment changes to maintain efficient workflow.

May ensure daily staffing levels and cross-training is adequate.

Participates in community affairs as a representative of the firm.

Services clients in his/her own book of business.

Performs other duties and responsibilities as assigned.

Knowledge of

Companys working structure, policies, mission, strategies, and compliance guidelines.

Economic and accounting principles and practices, the financial markets, banking, and analysis and reporting of financial data.

Legal requirements and federal and state regulations related to employment.

Skill in

Operating standard office equipment and using required software applications to produce

correspondence, reports, electronic communication, spreadsheets, and databases.

Preparing and delivering clear, effective, and professional presentations.

Identifies the needs of customers through effective questioning and listening techniques.

Ability to

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.

Establish and maintain a respected position of leadership to influence, motivate and persuade

others to achieve desired outcomes.

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.

Continuously learn investment products, industry rules and regulations, and financial planning.

Organize, manage, and track multiple detailed tasks and assignments with frequently changing

priorities and deadlines in a fast-paced work environment.

Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.

Articulate reasons behind decisions.

Keep all appropriate parties up-to-date on decisions, changes, and other relevant information.

Establish and maintain effective working relationships with others.

Identify problems, gather facts, and develop solutions.

Education/Previous Experience

Bachelors degree (B.A.) from four-year college or university, and a minimum of three (3) years

experience in a financial services firm.

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 and 9 & 10 (or 8) required.

Series 63 & 65, or 66 as required by state.

Life, Health, and Variable Annuity Insurance Licenses.

NFA Commodities License required if any commodities trading is done at the branch.