What are the responsibilities and job description for the Wealth Management Branch Manager - Series 9/10 position at Ascendo Resources?
We are seeking an individual with experience in management and holds an active FINRA Series 9/10.
Responsibilities
- Oversee the administration of branch operations and provision of comprehensive administrative support.
- Lead the recruitment, selection, onboarding, training, and management of the Client Service Associate team to ensure optimal performance.
- Conduct regular performance evaluations and make key personnel decisions related to compensation, promotions, and professional development.
- Educate and train all branch employees on administrative policies, procedures, and compliance requirements.
- Address and escalate supervisory issues when necessary, and ensure local follow-up on any issues identified by the management team.
Requirements
- 5 years of management experience working within an established broker dealer or wealth management firm.
- Hold an active FINRA Series 9 and 10 License.
- Bachelor's degree within related field
- Proficiency and sound knowledge with FINRA regulations and client service policies and procedures.