DUTIES and RESPONSIBILITIES:
People Management and Communication
- Lead the Branch in executing the organization's strategic priorities by influencing and coaching behavioral change with a focus on consistency, quality, and compliance with Firm policies and procedures
- Lead, mentor, and supervise a team of Support and Service Professionals
- Promote cross-training, learning, development and recognition of Service and Support Professionals within the Complex
- Facilitate the interviewing, selection and onboarding of new hires, including newly recruited Financial Advisors and their Support Professionals
- Partner with CBSO and Human Resources regarding all aspects of people management, including annual performance reviews, performance management and conflict resolution
- Maintain strong relationships with key partners within the Branch, Complex, Region and Home Office including participation in team meetings, regional and national calls
- Consistently conduct Support Professional one-on-one meetings for coaching opportunities, career goal setting, job related activities, firm opportunities and team building; this includes meeting with Advisor teams to address service needs
- Manage and oversee Support Professionals coverage for Financial Advisors in the Branch
- Identify Support Professional recognition opportunities within the complex through sharing of best practices, success stories and achievements
- Promote a branch culture that's consistent with the Firm's core values, including championing diversity and inclusion
Operational Oversight
- Manages travel and entertainment expenses for Advisors as well as other firm programs to manage budget tracking and forecasting with adherence to Firm policies
- Manage service transaction approvals and processes (e.g., trade supervision, money movement, document handling, cashiering, trading and account maintenance) and ensuring reporting, logs and files are maintained and actioned appropriately
- Lead select operational remediations within the team and ensure corrective action is taken before deadlines
- Ensure appropriate coverage across all branches assigned which may include travel to assigned branches (e.g., both within operations areas as well as offices with reception areas)
- Facilitate and manage resolution of client inquiries/requests
- Oversee various administrative efforts in the branch
- Ensure compliance with Firm policies and procedures by conducting regular self-audit testing and partnering with the Complex Risk Officers on branch exams and corrective action plan implementation relating to the service organization
- Participate in national calls to learn about new platform changes, policy and procedure updates, share best practices and learn about other timely updates
- Identify and implement process improvements to ensure teams are maximizing productivity and driving efficiencies
- Administer other duties as delegated by the Complex Business Service Officer