Financial officer Jobs in Windsor, NS

Description

D.A. Davidson, an employee-owned Financial Services firm, has an exciting opportunity for a Branch Manager to lead and grow our Newport, Long Beach and Carlsbad California branches.

In this business-critical role, you will lead, coach, and supervise Financial Professionals and Branch Staff to deliver exceptional client service while ensuring compliance with company policies and procedures and industry rules and regulations. Additionally, the Branch Manager actively engages in ongoing recruiting activities in support growth initiatives.

Experience and Skills

Qualifications :

• Applicable industry exams : Series 7, 66 (or combination of Series 63 and 65) and 9 and 10 (or combination of Series 24, 4, and 53).
• 5+ years licensed brokerage experience required.
• Bachelor’s Degree in Finance, Accounting or Business-related field strongly preferred.
• Demonstrated leadership, management and motivational skills.
• Excellent communication and interpersonal skills with the ability to build relationships with clients, prospects, colleagues and direct reports.
• Thorough knowledge of securities industry rules and regulations.
• Solid technology skills including Microsoft Word, Excel and Outlook.
• Ability to follow policies and procedures and maintain client confidentiality.

Duties :

o Oversees day-to-day branch activities supporting productivity, compliance and excellent client service.

o Participates in various weekly and monthly meetings. Disseminates information to appropriate personnel. Implements all policy and procedural changes.

o Works with the Branch Office Operations Manager in the hiring and management of all branch office support staff.

o Leads employee engagement efforts to strengthen culture; represent the enterprise the community and promote and encourage involvement in the branch.

o Manages and coaches Financial Advisors on current business practices, client acquisition and advises on leveraging solutions, tools and best practices.

o Conducts business planning and generally supports FAs to strengthen practices.

o Acts as the regulatory supervisor and manages supervisory tasks that need to be completed on-site.

o Model’s standards of conduct and holds FAs and Associates accountable to them.

o Conducts Annual Account Reviews with each FA within your branch.

o Conducts periodic onsite visits to satellite branch offices as well as alternative work locations for personnel working in remote locations.

o Reviews complaints received and works with the Compliance department on resolution.

o Acts as primary on-site contact for all branch examinations (internal and external).

o Leads by completing mandates and required trainings; ensures office completion.

o Develops branch’s overall budget and manages the budget to expected results.

o Monitors monthly P&L and staff ratio requirements.

o Engages in ongoing recruiting activities working to develop a pipeline of current and potential recruit candidates

o Recruits high performing advisors, reflecting the communities we serve.

What we offer :

Competitive salary plus excellent benefits and perks including, but not limited to :

Total compensation is a “target” of $350,000, pending experience.

D.A. Davidson has been in business for over 87 years! As an employee-owned company, our success is driven by our high standards of business ethics, integrity, and the belief that our Associates are our most important assets. We offer a robust compensation package as well as competitive health benefits, company 401(k)and ESOP contribution, charitable gift-matching program and most importantly, an enviable corporate culture.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.