Skip Navigation

Search Our Jobs

Complex Manager-Denver/Cherry Creek, CO - Req. 1900906


Job Summary:


Oversee the day-to-day operations of multiple Raymond James & Associates (RJA) retail branches that are combined to form a functional group.  May service clients in his/her own book of business. 

Essential Duties and Responsibilities:


• Assists Resident Manager at each branch with the following activities:

         o    Attracts, selects, orients, trains, and retains Financial Advisors (FAs) and support staff.

         o    Supervises daily trading and other office activities.

         o    Resolves client complaints.

         o    Performs reviews of client accounts.

         o    Develops and implements plans to meet office sales goals.

         o    Facilitates sales promotion activities such as seminars and luncheons/dinners.

         o    Develops and monitors office revenue and expense budgets.

         o    Informs FAs about new products and RJA managed underwritings.

• Continually evaluates complex structure and strategic plan, including future growth as needed, to promote overall efficiency and profitability while maintaining a commitment to excellent service.

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

• May service clients in his/her own book of business.

• Participates in community affairs as a representative of the firm.

• Performs other duties and responsibilities as assigned.


Knowledge, Skills, and Abilities:

Knowledge of:

• Company’s 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:

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

• Provide a high level of customer service.

• 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.

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A.) from four-year college or university, and a minimum of three (3) years experience in a financial services firm.


• An equivalent combination of experience, education, and/or training as approved by Human Resources.


• SIE required provided that an exemption or grandfathering cannot be applied.
• Series 7, 9, 10
• Life, Health, and Variable Annuity Insurance Licenses.
• NFA Commodities License required if any commodities trading is done in the branches.