Complex Administrative Manager (Scottsdale, AZ)

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. Education/Experience Requirements Bachelor’s degree and a minimum of six years’ experience in the financial services industry, including related operational, administrative management and supervisory experience ~or~ An equivalent combination of experience, education and/or training as approved by Human Resources Licenses Required SIE required provided that an exemption or grandfathering cannot be applied Series 7, 9 & 10 Series 63, 65 and/or 66 as required by state Ability to obtain additional securities and advisory state registrations if required by state
• Education
• Bachelor’s - Completed
• Work Experience
• General Experience - 6 to 10 years, Manager Experience - 3 to 6 years
• Certifications
• s10 - General Securities Sales Supervisor - General Module Examination - Financial Industry Regulatory Authority (FINRA), s66 - Uniform Combined State Law Examination - Financial Industry Regulatory Authority (FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA), s9 - General Securities Sales Supervisor - Options Module Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)