Apply on Employer Site

Raymond James · 1 day ago

Complex Manager

St Louis, MO

Full-time

Onsite

Senior Level, Lead/Staff

10+ years exp

Raymond James is a financial services firm seeking a Complex Manager to oversee the day-to-day operations of multiple retail branches. The role involves managing staff, resolving client complaints, and ensuring compliance with firm policies while driving sales and promoting excellent customer service.

BankingFinancial ServicesInformation TechnologyInsuranceWealth Management

Growth Opportunities

Responsibilities

Assists Resident Manager at each branch with the following activities:

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

Supervises daily trading and other office activities

Resolves client complaints

Performs reviews of client accounts

Develops and implements plans to meet office sales goals

Facilitates sales promotion activities such as seminars and luncheons/dinners

Develops and monitors office revenue and expense budgets

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

Qualification

Financial services experienceCompliance oversightClient relationship managementBudget managementSales strategy developmentPresentation skillsCustomer serviceEffective questioningInterpersonal communicationProblem-solvingTeam collaborationAdaptabilityContinuous learning

Required

Bachelor's degree (B.A.) from four-year college or university

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

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 in the branches

General Experience – 10 to 15 years

Knowledge of company's working structure, policies, mission, strategies, and compliance guidelines

Knowledge of economic and accounting principles and practices, the financial markets, banking, and analysis and reporting of financial data

Knowledge of 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

Skill in preparing and delivering clear, effective, and professional presentations

Ability to continuously learn investment products, industry rules and regulations, and financial planning

Ability to provide a high level of customer service

Ability to organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment

Ability to use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels

Ability to articulate reasons behind decisions

Ability to keep all appropriate parties up-to-date on decisions, changes, and other relevant information

Ability to establish and maintain effective working relationships with others

Ability to identify problems, gather facts, and develop solutions