Branch Manager (Denver, CO)

Essential Duties and Responsibilities u2022 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. u2022 Responsible for compliance oversight and ensuring adherence to firm and regulatory policies and procedures. u2022 Performs reviews of client accounts and documents and resolves client complaints. u2022 Coordinates registrations, continuing education, licensing, etc. of branch personnel. u2022 Oversees daily trading and other office activities. u2022 Supervises daily trading and other office activities. u2022 Facilitates sales promotion activities such as seminars and luncheons/dinners as well as inform FAu2019s about new products and RJA managed underwritings. u2022 Develops and monitors office revenue and expense budgets. u2022 May attract, select, orient, train, and retain Financial Advisors (FAs) and support staff. u2022 May conduct ongoing performance appraisals, scheduled performance appraisals and salary reviews of operations associates, and maintains branch associate files. u2022 May review daily work of associates; evaluate workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow. u2022 May ensure daily staffing levels and cross-training is adequate. u2022 Participates in community affairs as a representative of the firm. u2022 Services clients in his/her own book of business. u2022 Performs other duties and responsibilities as assigned. Knowledge of u2022 Companyu2019s working structure, policies, mission, strategies, and compliance guidelines. u2022 Economic and accounting principles and practices, the financial markets, banking, and analysis and reporting of financial data. u2022 Legal requirements and federal and state regulations related to employment. Skill in u2022 Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. u2022 Preparing and delivering clear, effective, and professional presentations. u2022 Identifies the needs of customers through effective questioning and listening techniques. Ability to u2022 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. u2022 Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes. u2022 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. u2022 Continuously learn investment products, industry rules and regulations, and financial planning. u2022 Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment. u2022 Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels. u2022 Articulate reasons behind decisions. u2022 Keep all appropriate parties up-to-date on decisions, changes, and other relevant information. u2022 Establish and maintain effective working relationships with others. u2022 Identify problems, gather facts, and develop solutions. Education/Previous Experience u2022 Bacheloru2019s degree (B.A.) from four-year college or university, and a minimum of three (3) years experience in a financial services firm. OR ~ u2022 An equivalent combination of experience, education, and/or training as approved by Human Resources. Licenses/Certifications u2022 SIE required provided that an exemption or grandfathering cannot be applied. u2022 Series 7 and 9 & 10 (or 8) required. u2022 Series 63 & 65, or 66 as required by state. u2022 Life, Health, and Variable Annuity Insurance Licenses. u2022 NFA Commodities License required if any commodities trading is done at the branch.

Created: 2026-04-10