**Essential Duties and Responsibilities**

• Evaluates branch structure and strategic plan, including future growth as needed, to promote

overall efficiency and profitability while maintaining a commitment to excellent service. Develops

and implements plans to meet office sales goals.

• Responsible for compliance oversight and ensuring adherence to firm and regulatory policies and procedures.

• Performs reviews of client accounts and documents and resolves client complaints.

• Coordinates registrations, continuing education, licensing, etc. of branch personnel.

• Oversees daily trading and other office activities.

• Supervises daily trading and other office activities.

• Facilitates sales promotion activities such as seminars and luncheons/dinners as well as inform FA’s about new products and RJA managed underwritings.

• Develops and monitors office revenue and expense budgets.

• May attra...