Wealth Management Branch Manager - Series 9/10

We are seeking an experienced Administrative Officer (Series 9/10) to join our growing Broker-Dealer. This individual will play a critical role supporting branch operations, supervising registered representatives, and ensuring the firm's day-to-day activities are conducted in accordance with FINRA, SEC, and internal compliance standards.

This position serves as a key operational leader, partnering with Financial Advisors, Operations, Compliance, and Executive Management to maintain efficient branch operations while delivering an exceptional advisor and client experience. The ideal candidate is highly organized, possesses strong regulatory knowledge, and has prior supervisory experience within a broker-dealer environment.

Key Responsibilities

• Supervise the daily activities of registered representatives and support staff in accordance with FINRA and SEC regulations.
• Perform principal review and approval of new accounts, client documentation, correspondence, advertising, trade activity, and operational transactions as required under Series 9/10 registration.
• Serve as the primary operational resource for Financial Advisors and branch personnel.
• Ensure branch activities comply with firm policies, Written Supervisory Procedures (WSPs), and regulatory requirements.
• Conduct supervisory reviews of client communications, exception reports, trade blotters, and account activity.
• Review and escalate compliance concerns, customer complaints, trade errors, and operational issues as appropriate.
• Coordinate with Compliance, Operations, Risk Management, and Home Office departments regarding regulatory matters.
• Assist with FINRA, SEC, and internal audits and branch examinations.
• Monitor licensing, registration, continuing education, and annual compliance requirements for registered representatives.
• Support onboarding of new advisors, including registration paperwork, technology setup, operational training, and branch orientation.
• Assist advisors with operational requests including account maintenance, transfers, money movement, and client service matters.
• Maintain accurate supervisory documentation and records required by regulatory agencies.
• Partner with management to improve branch workflows, operational efficiencies, and client service standards.
• Provide leadership, coaching, and guidance to administrative and operational staff.
• Assist in implementing new operational initiatives, policies, and technology enhancements.

Qualifications

• Active FINRA Series 9 & 10 licenses (Required).
• Series 7 and Series 63/66 licenses required.
• Bachelor's degree preferred or equivalent industry experience.
• Minimum 5+ years of experience within a Broker-Dealer, Wealth Management, or Financial Services environment.
• Previous supervisory or branch management experience preferred.