Career Opportunities




Operations Manager/Registered Client Associate

Date of Posting

October 29, 2012


Boise - Individual Investor, ID

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Job Summary:

Perform various human resources, operational, accounting, compliance and administrative functions to contribute to branch sales and profit objectives and ensure compliance with company policies and procedures and industry rules and regulations. Provide administrative and operations support to an assigned group of FCs to facilitate the generation of commission and fee revenues for the FC and the Company.


(Including specific Education and License requirements)

  • Applicable industry exams: Series, 7, 66, 24 or 9 and 10.

  • Prior supervisory experience.

  • Seasoned experience in the securities business with thorough knowledge of securities industry rules and regulations.

  • Ability to maintain a high level of confidentiality.

  • General knowledge of accounting principles.

  • Strong interpersonal, organizational and customer services skills and attention to detail.

  • Ability to operate a PC and work in an automated environment. Good computer skills (working knowledge of Microsoft Word, Excel and Outlook.)

  • Excellent communication skills, both oral and written.

  • High School diploma, GED or comparable work experience.

  • Basic math and writing skills.

  • Ability to manage multiple demands and competing priorities with attention to detail and work with a variety of personalities.

  • Ability to work in a fast-paced, deadline-oriented environment.


  • Coordinate the work activities and the staffing levels of the branch support staff to contribute to efficient and effective branch operations.

  • Assist with implementing and assuring compliance with all Corporate Human Resource policies. Serve as a liaison between Corporate HR and the branches.

  • Assist in the hiring and management of all branch office support staff.

  • Oversee the cashiering functions in the branch(es) to ensure compliance with Company policies and procedures.

  • Serve as the primary point of contact to assist in the resolution of Operations issues.

  • Participate in various weekly and monthly meetings. Disseminate information to appropriate personnel. Implement any policy and procedural changes.

  • Coordinate training of employees.

  • 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.

  • Assist with advertising for the branch (es). 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.

  • 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.

  • Assist with the investigation and review of 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.

  • Provide professional, courteous customer service to ensure client satisfaction.

  • Review all account documentation to ensure its completeness.

  • Facilitate the transfer of client funds and/or securities. Issue checks upon request.

  • Inform FC of all important information and activities related to their client’s accounts and transactions.

  • Watch for potential problems. Alert the FC and /or Branch Manager when necessary.

  • Perform other duties as assigned.