Branch office operations manager - finance -cc - united states, mascara

ultimate staffing is looking for an branch operations manager for an investment/finance company in newport beach. the position works with the branch manager (bom) to ensure the branch runs smoothly and complies with company policies and procedures and security industry rules and regulations.salary $90k-$100k - exempt; mon-fri 7/7:30 - 3:30/45+ years industry and management experienceapplicable industry exams: series 7, 65 or 66, 24. also, 9 and/or 10 or willing to get.8-9 direct reports, with 10 financial advisors; supervise their book of businessqualifications:prior supervisory experience.general knowledge of accounting principles.thorough knowledge of company policies and procedures.seasoned experience in the securities industry, knowledge of industry rules and regulations.strong interpersonal skills.strong organizational skills and attention to detail.ability to operate a pc and work in an automated environment.thorough knowledge of securities industry rules and regulations.familiar with microsoft word, excel and outlook.excellent communication skills, both oral and written.follow policies and procedures. maintain client confidentiality.communicate in a clear and service oriented manner. use appropriate, professional language and grammar to effectively exchange ideas and information.ability to proactively work with both external and internal clients. relate with others in a professional manner in order to accomplish work responsibilities and objectives.ability to maintain regular, predictable attendance.
the qualifications and physical demands described in this job description are representative of those most appropriate for successful performance of the essential functions of this job. upon request, reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions of the job.

coordinate the work activities of the branch support staff to contribute to efficient and effective branch operations. work with the branch manager to determine the staffing needs for individual fas and other branch office positions.initiate and review support staff training to assure peak productivity levels for all support staff within the branches. coordinate all training and advanced training of newly hired employees and experienced support staff.implement and assure compliance with all human capital policies. serve as a liaison between human capital and the branches. participate in compensation review of support staff personnel; make recommendations as requested by the branch manager. review and advise on quarterly staff ratio reports.assist in the investigation of employee complaints and personnel issues to include progressive disciplinary action, sexual harassment and discrimination situations and terminations. work with human capital until a satisfactory resolution is obtained.participate in the hiring and management of all branch office support staff. deliver the new employee paperwork and follow up until completed to initiate the background check and on boarding process. facilitate new employee processing and process employment records.monitor and approve payroll time entries, weekly on the automated payroll system.oversee the cashiering functions in the branch(es) to ensure compliance with company policies and procedures to included training or re-training cashier personnel, processing new account forms, incoming and outgoing funds, transfers etc. designate, serve as backup or personally perform the operations duties of the branch if the size of the office dictates it.work with the branch manager and sales/operations liaison to coordinate the transition of new fas. coordinate the hr processes, the ordering of supplies and equipment, the account transfer process, training etc. to ensure a smooth transition.assist in the opening of new satellite offices. coordinate the ordering of supplies, office equipment, office furniture, telephones, computer equipment etc.oversee the distribution of the morning reports to staff and fas for review.oversee the collection of the daily mutual fund breakpoint worksheet. ensure staff or fa prepare worksheets when required.oversee the processing of all cancel & rebills, trade corrections and any other errors. serve as the liaison between the fa and back office to resolve any problems. follow-up until resolved.serve as the primary point of contact to assist in the resolution of operations issues. assist branch personnel to troubleshoot and communicate issues to the appropriate department to ensure the accurate and timely resolution of the issue. follow through until resolved.participate in various weekly and monthly meetings. disseminate information to appropriate personnel. implement any policy and procedural changes.assist bm with the management office expenses. review and approve all invoices, office and fa expenses and submit to accounting for payment. input expenses into an excel spreadsheet to compare spending on a month to month basis. review monthly p&l or income and expense reports if requested.assist bm with the annual budgeting process. assist brokers with capturing a true budget or projection of annual production that needs to be generated.review travel and expense reports.plan and execute various events for the branch(es).  events include the holiday party, branch goal get together, summer party, customer appreciation, etc.oversee the approval of advertising for the branch(es). work with the advertising department on all advertising and promotional items to include ads, brochures, invites. present new ideas to promote d.a. davidson. obtain regional supervisory approval as required.maintain office files in compliance with company policies and procedures, branch standardization policy and industry rules and regulations. respond to requests for files during the annual branch compliance review/exam. oversee the maintenance of the centrally located files in the receptions area for retention accuracy and content.the branch manager may delegate certain supervisory items to the branch operation manager as indicated on the "delegation of duty log' for principal licensed branch operations manager.investigate and review all customer complaints. report findings to proper authorities. follow through until resolved.serve as contact person for office maintenance issues, continuity plan, keys, locks, card keys, etc. maintain building leases.oversee the maintenance of the storage room, copy centers, shredding bins, kitchen and supplies.serve as the liaison to the it department -hardware and software.
perform any other duties and special projects as necessary.

we are an equal opportunity employer and make hiring decisions based on merit. recruitment, hiring, training, and job assignments are made without regard to race, color, national origin, age, ancestry, religion, sex, sexual orientation, gender identity, gender expression, marital status, disability, or any other protected classification. we consider all qualified applicants, including those with criminal histories, in a manner consistent with state and local laws, including the city of los angeles' fair chance initiative for hiring ordinance.

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