Branch Support Manager
$85,000–$133,000 year
On-siteMinneapolis, Minnesota, United States or Saint Paul, Minnesota, United States
Job Summary
Supervise less experienced roles in transactional tasks and processes to ensure timely completion, quality, and compliance. Identify opportunities for process improvement and risk control development in less complex functional areas. Make day-to-day supervisory decisions and resolve issues related to team supervision, work allocation, and daily operations. Mentor and guide talent development of direct reports while assisting in hiring. Collaborate with peers, colleagues, and mid-level managers to manage allocation of people and financial resources for Brokerage Support. This role requires 4+ years of Securities industry experience and 1+ year of leadership experience. US candidates must obtain FINRA Series 7, 63, 65, 66, 9, or 10 licenses within 90-180 days of hire. The position is based in Minneapolis or Saint Paul, MN, with up to 20% travel. No visa sponsorship is available.
Required Qualifications
- 4+ years of Securities industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- 1+ years of leadership experience
- Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
- US only
- US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position
- FINRA Series 9/10 and 65 or 66 examinations, or equivalent must be completed within either a 90 or 180-day time period following commencement of employment, depending upon the number of license(s) needed if not immediately available to transfer upon hire
- FINRA recognized equivalents will be accepted
- Registration for FINRA Series 65 or 66 must be completed prior to conducting Investment Advisory business
- Compliance with state law registration and licensing requirements is mandatory
- Specific product licenses or SAFE licensing may apply
- Meeting enhanced financial fitness and criminal background standards
- Ability to travel up to 20% of the time
- Candidates must successfully complete and pass a background check prior to hire
- Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents
- This position is not eligible for Visa sponsorship
Desired Qualifications
- 1+ year of leadership experience including managing, coaching and training
- Knowledge and understanding of Brokerage Industry, products, and operational procedures
- Excellent verbal, written, and interpersonal communication skills in both team settings and in-person to support the Market
- Understanding of brokerage branch exams and regulatory requirements from an operational support perspective
- Client service centric for our internal and external customers
- Strong attention to detail and accuracy
- Proven ability to prioritize tasks, stay organized, and manage competing demands in a fast-paced environment
- Series 9/10 licensing
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