Supervisory Branch Office Operations Manager

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients' financial well-being, we also work to strengthen local communities—and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report.

D.A. Davidson, an employee-owned Financial Services firm, is seeking an exceptionally sharp, motivated and detail-oriented Supervisory Branch Office Operations Manager to join our Charleston, SC branch. In this business-critical role, you will work with the Branch Manager to lead branch staff to deliver an exceptional and compliant client experience.

Qualifications:

• Applicable industry exams: FINRA SIE, Series 7, 66 (or 63/65), and 9/10 (or 24/4/53)
• Prior managerial experience
• Seasoned experience in the securities industry, knowledge of industry rules and regulations
• Thorough knowledge of, and adherence to, Company policies and procedures
• Strong organizational skills and attention to detail
• Solid technology skills, including familiarity with Microsoft tools (Word, Excel, Outlook, Teams, CRM). Excellent communication skills, both oral and written
• Excellent communication and interpersonal skills with the ability to work proactively with both external and internal clients.
• Ability to maintain regular, predictable attendance

Duties:

• 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 Financial Professionals ("FP") 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 cashiering personnel, 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 requires it
• Work with the Branch Manager and Transition Team to coordinate the transition of new FPs. Coordinate the HC processes, the ordering of supplies and equipment, the