24 days old

Branch Office Manager

Advisor Group
Spring, TX 77373
  • Job Code
Registered Representative Opportunity in Financial Services

Branch Office Manager

Location: 21025 Spring Brook Plaza Dr Spring, TX 77379


We are seeking an experienced, highly motivated and goal-oriented Financial Advisor who is looking for a unique opportunity to lead Financial Professionals. With this rewarding career path, you are prepared to apply your product knowledge and wealth management talents to deliver individualized comprehensive advice to clients individual and through growing the business and delivering excellent customer experience through your assigned personnel.

The Branch Office Manager responsibilities are broad and include serving as an OSJ Principal for the branch as well as management of the team.


  • Lead and manage existing team to service and grow existing business.
  • Lead planning and organization of client events.
  • Exemplary communication, presentation, time-management, organization and customer service skills.
  • Ability to listen to client needs, develop a thorough understanding of client situation and risk tolerance, and provide financial solutions that are suitable to achieve client goals.
  • Discuss appropriate savings and spending strategies and provide additional financial planning solutions as needed through both verbal and written communication plans.
  • Generate portfolio recommendations specific to each client's agreed upon investment strategy and financial plan.
  • Demonstrated portfolio management skillset related to discretionary and non-discretionary investment management.
  • Proven ability in managing models and transitioning custom accounts to a model-based platform.
  • Proven ability to monitor, recommend changes and execute trades for client portfolios based on model/security drift, cash balances, restrictions, tax loss harvesting etc.
  • Talented at networking with prospects, businesses and personal communities.
  • Maintain all required licenses and designations required by regulators.
  • Maintain an in-depth understanding of compliance, regulatory and departmental policies and procedures.
  • Successful completion of background check and pre-employment assessments.
  • All other duties as assigned.

OSJ Job Responsibilities

  • New Account Review and Approval
  • Trade Blotter Review and Approval
  • Complex Products Supervision - includes alternative investments, structured products etc.
  • Retail Communications Review and Approval

Ongoing Responsibilities

  • Books & Records Review and Retention
  • Outside Business Activity Review and Approval
  • Email Review and Approval
  • Ensuring all U-4 updated are reported in a timely manner.
  • Ensuring all customer complaints, legal matters and regulatory inquiries are reported immediately.
  • Review of Inactive Advisor Managed Portfolio Accounts.
  • Ensure that all registered advisors and assistants disclose personal accounts.
  • Confirm that all advisors are appropriately registered to solicit the purchase/sale of investment products in the state of residence for each client
  • Confirming that all advisors and administrative staff complete required continuing education courses - both regulatory and firm element
  • Conduct Advisory Practice Reviews (APR) - periodic advisor interviews in accordance with firm policy to include sales practices, trade patterns, product mix, business development, deficiency follow up, financial records etc.

Basic Requirements: Great communication skills and the capability to gather relevant information from the clients to understand their needs and address their concerns is essential. Knowledge of the rules and regulations related to investments is crucial. Good networking and selling skills while being proactive to acquire new clients is vital.

Education Requirements:

  • Bachelor's degree in business, finances, sales and/or marketing is preferred. High school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Basic Job Qualifications:

  • FINRA Series 7, 24, 65 licenses (or 63 / 66) are required
  • 7-10 years of financial advisor experience
  • 3-5 years of management experience
  • At least 2 years of portfolio management experience

Preferred Requirements:

  • Experience working with High Net Worth Clients

Posted: 2020-10-05 Expires: 2020-11-03
Sponsored by:
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Sponsored by:
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Branch Office Manager

Advisor Group
Spring, TX 77373

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