Branch Manager

Raymond James Ltd. - Calgary, AB (30+ days ago)

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Raymond James Ltd. is seeking a Branch Manager to work in our Calgary office.

Raymond James Ltd. is Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

The Branch Manager is responsible for monitoring the activities of Financial Advisors and their Assistants at the branch and providing ongoing practice or operational support. The Branch Manager will implement branch initiatives, facilitate best practices and communications, problem solve and ensure that a high level of service quality is evident in all aspects of day-to-day operations.

Specifically you will:

  • Lead a team of 65 Advisors and Assistants striving to provide service excellence with their clients, resolving concerns and facilitating collaborative interaction with corporate office teams in operations or compliance;
  • Coach and develop Advisors on an ongoing basis;
  • Define practice management opportunities for Advisors and performance standards their Assistants, supporting seamless performance in their roles;
  • Responsible for completion of business objectives including preparation of branch budgets, the review of month end financial reports, and the resolution of variances;
  • Ensure Advisors and their Assistants are compliant with all rules, laws, as well as regulations in place;
  • Recruit Advisors to the firm;
  • Represent the firm in the community;
  • Responsible for implementing Raymond James policies and procedures at the branch level;
  • Collaborate with branch and senior managers of Raymond James on an ongoing basis;
  • Oversee branch administrative staff and manage employee relations issues;
  • Develop and maintain necessary records and controls in order to ensure efficient operation;
  • Review all New Account documentation before it is signed;
  • Supervise the daily trading activity for Investment Advisors at the branch;
  • Review Non-Brokered Private Placement documentation; and
  • Other duties as assigned.

Education and Experience:

  • Post-secondary education;
  • 10 or more years of experience in the Financial Services industry;
  • Minimum of 5 years industry experience as an Investment Advisor or an equivalent leadership role in an IIROC dealer;
  • Successful completion of the Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), Branch Managers Course, Effective Management Seminar, Options Supervisors Course, and the Canadian Commodity Supervisors Course;
  • Possess a history of quality client relationships and low compliance risk;
  • Current knowledge of regulatory rules as well as requirements;
  • Proficiency with MS Office particularly Word, Excel, and Outlook; and
  • Ability to travel within Canada and the United States.

Professional Skills:

  • Proven leadership skills in dealing with Advisors regarding book building, marketing initiatives, team building, Human Resources issues and problem resolution;
  • Proven leadership skills to effectively motivate people toward higher levels of performance and contribution;
  • Ability to manage and work well with colleagues;
  • Ability to work with a variety of personalities and retain positive long-term professional relationships;
  • Demonstrated track record of success;
  • Strong organizational, multi-tasking and prioritizing skills;
  • Excellent problem-solving skills and ability to exercise sound judgment;
  • Ability to take initiative and assume numerous roles and responsibilities;
  • Ability and track record of building and executing against a vision and successfully enlisting enthusiastic buy-in from team members;
  • Proven ability to embrace changes in areas of media (i.e. social, broadcast etc.), regulatory requirements etc.;
  • Superior verbal and written communication skills;
  • Ability to work effectively both independently and with a team environment;
  • Professionalism displayed by well-developed interpersonal skills with the proven ability to exercise tact and discretion; and
  • Previous experience as Branch Manager is a definite asset.

This is a permanent full-time position with a competitive compensation and benefits package.

If you would like to join our team, please send a resume and covering letter, quoting the position and Job Posting # 20-059 by April 10, 2020 to:

Human Resources

Raymond James Ltd.

This posting will remain open until filled.

To be considered for employment candidates will be required to provide proof of citizenship, permanent residency or eligibility to work in Canada with no restrictions. We require applicants to complete a background verification process prior to commencing employment with the company, including but not limited to a credit and criminal record check. Employment is contingent on the satisfactory completion of a pre-employment background check.

We sincerely thank all applicants who express an interest in this role: only those being directly considered will be contacted.

Raymond James Ltd. recognizes the value of a diverse workforce and appreciates the unique skills and special contribution of each employee. We are committed to accessibility for candidates through all stages of the recruitment process. Should you require accommodation, please contact Human Resources via email.

Job Types: Full-time, Permanent