Branch Manager

Full-service investment firm, catering to individual investors, institutions, corporations, and municipalities, is in search of a Branch Manager. This role entails supervising and guiding Financial Professionals and Branch Staff to provide outstanding client service, all while ensuring adherence to company policies, industry regulations, and procedures. Additionally, the Branch Manager will spearhead recruitment endeavors to bolster the branch's expansion efforts. Will be working out of client's Newport Beach, Long Beach, and Carlsbad branches.

Responsibilities :
Supervise day-to-day branch operations to enhance productivity, compliance, and client satisfaction
Facilitate various weekly and monthly meetings, disseminate crucial information, and implement policy and procedural changes
Collaborate with the Branch Office Operations Manager in hiring and managing branch support staff, fostering employee engagement, and cultivating a strong organizational culture
Provide coaching and guidance to Financial Advisors on business practices, client acquisition, and utilization of solutions and best practices, while supporting business planning efforts
Act as the regulatory supervisor, ensuring compliance with standards of conduct, conducting annual account reviews, managing onsite supervisory tasks, and serving as the primary contact for branch examinations
Manage branch financials, develop budgets, monitor monthly P&L, and maintain staff ratio requirements
Drive ongoing recruiting activities to cultivate a pipeline of high-performing advisor candidates

Requirements :
Bachelor's degree in finance, Accounting or Business-related field strongly preferred
5+ years licensed brokerage experience required
Series 7/66 (or 65/63) and 9/10 to start (24, 4, and 53 a plus)
Demonstrated leadership, management and motivational skills
Excellent communication skills with the ability to build relationships with clients/prospects/colleagues/direct reports
Strong knowledge of securities industry rules/regulations
Working knowledge of MS Word/Excel/Outlook
Ability to follow policies and procedures and maintain client confidentiality
Proven track record of advisor recruiting and retention

The expected total compensation for the first year in this position ranges from $300,000 to $400,000, plus benefits. This amount is subject to fluctuations based on factors like skillset and experience.