Job Description

Job Summary

Hunziker & Associates is a full-service wealth management firm that provides concierge-level service to its clients. As they evolve, they are seeking an Operations Manager to manage the overall operational efficiency of the branch office. The ideal candidate has industry experience and is proficient in front- and back-office operations. Additionally, the Operations Manager will direct day-to-day operational functions of the office, run project management, ensure compliance with firm and regulatory policies and procedures, and have a strong affinity for organization and process in a professional, discreet, and team-oriented environment. When you become a part of the Hunziker family, you will have a trusted team by your side!

Responsibilities

• Performs all operational functions as required by workloads and absences.
• Assists Branch Owner with confidential matters such as compliance visits.
• Assists Branch Owner with controlling expenses and operating at peak efficiencies.
• Researches and resolves complex problems relating to client accounts and inquiries.
• Assists Branch Owner in running regular branch meetings.
• Recruits, selects, orients, trains, and supervises branch operations associates.
• Conducts ongoing performance management, scheduled performance appraisals and salary reviews of operations associates, and maintains branch associate files.
• Reviews daily work of operations associates.
• Evaluates workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow.
• Ensures daily staffing levels and cross-training is adequate.
• Coordinates registrations, continuing education, licensing, etc. of branch personnel.
• Performs other duties and responsibilities as assigned. May perform some Branch Manager duties.

Knowledge of

• Company policies and procedures and industry rules and regulations

• Investment concepts, practices and procedures used in the securities industry

• Financial markets and products

• Human resource management principles and practices
• Microsoft Office

Skill in

• Project management
• Organization
• Leadership
• Time management
• Compliance

Ability to

• Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

• Handle conversations with discretion and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a service attitude.

• Display professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.

• Employ good analytical skills to be able to research account information and resolve problems.

• Establish and communicate clear directions and priorities.

• Utilize good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel.

• Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.

• Effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

• Work independently, under minimal supervision.

Education/Experience Requirements

• Bachelor’s degree and three years’ experience in the financial services industry, preferably including related operational management and supervisory experience

~or~

• An equivalent combination of experience, education and/or training

Licenses Required

• SIE required provided that an exemption or grandfathering cannot be applied
• Series 7
• Series 63, 65 and/or 66 as required by state
• Ability to obtain additional securities and advisory state registrations if required by state

Education

Work Experience

Certifications

Salary Range

Travel

Workstyle

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. 

We expect our associates at all levels to:
•  Grow professionally and inspire others to do the same
•  Work with and through others to achieve desired outcomes
•  Make prompt, pragmatic choices and act with the client in mind
•  Take ownership and hold themselves and others accountable for delivering results that matter
•  Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates.  When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.