Complex Administrative Manager-Rogers, AR - Req. 1901521
Under administrative direction, manage the overall efficiency and supervision of the complex branch offices. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with some latitude for unreviewed actions or decisions. Uses extensive knowledge and skills obtained through education and experience to identify, research, analyze and resolve complex issues.
Essential Duties and Responsibilities:
• Recruits, selects, trains and supervises operations support associates in multiple branches.
• Manages all administrative matters in the hiring/termination of financial advisors and trainees, and their transition in and out of the branches.
• Conducts ongoing performance management, scheduled performance appraisals and salary reviews of branch support associates (Complex Manager may be involved), and maintains associate files.
• Monitors daily work of associates evaluating workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow.
• Ensures daily staffing levels and cross-training is adequate.
• Conduct staff meetings at multiple branches.
• Coordinates registrations, continuing education, licensing, etc. of associates.
• Maintains records of all complaints and ensures all E&Os are filed and responses are completed.
• Apprises Complex Manager of all appropriate matters, and assists with disseminating information to associates.
• Acts as Resident Manager or Rep in Charge when required.
• Participates in the physical establishment of complex expansion ventures such as satellites or new branches, as well as existing branch moves.
• Monitors alerts and supervises any necessary follow-up.
• Assists Complex Manager with controlling expenses and operating at peak efficiencies.
• Assists in the development and monitoring of office revenue and expense budgets;
• Tracks, reviews and approves expense reports, marketing allowances/expenses and other complex expenses/charge backs.
• May assist Complex Manager in managing their book of business.
• May be responsible for ensuring compliance with firm and regulatory policies and procedures.
• May oversee office maintenance, cleaning and security issues.
• Performs other duties and responsibilities as assigned; may perform some Complex Manager duties.
• Comprehensive understanding of company policies and procedures and industry rules and regulations.
• Investment concepts, practices and procedures used in the securities industry.
• Financial markets and products.
• Human resource management principles and practices.
• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• 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.
• 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.
• Employ good analytical skills to be able to research and resolve problems.
• Establish and communicate clear directions and priorities.
• Utilize good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel.
• Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.
• Effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
• Work independently, under minimal supervision.
Educational/Previous Experience Requirements:
• Bachelor’s degree from college or university in related field and a minimum of six (6) years of Administrative Manager experience in the financial services industry.
• 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 required.
• Series 63, 65 and/or 66 as required by state.
• Ability to obtain additional securities and advisory state registrations if required by state.