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Branch Admin Manager - New England - Various Locations
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Full-time
- Assists the Branch Manager with compliance oversight, ensuring adherence to firm and regulatory policies and procedures.
- In conjunction with the Branch Manager conducts ongoing performance management, scheduled performance appraisals and salary reviews of operations associates, and maintains branch associate files.
- May be responsible for ensuring compliance with firm and regulatory policies and procedures including but not limited to daily trade blotters, MARS reports, incoming client correspondence, new account form approvals, and advertising approvals.
- Utilize good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel.
- Series 9 & 10 if required by business unit.
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